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Practice/Industry Group Overview
Subpoenas. Grand Juries.
Immunities. Pleas.
Settlements. Trials.
Our team of attorneys offers protection to our clients: preventative counseling, strong presence during investigations, fluent trial advocacy.
Where a government contractor's operations are out of compliance with contractual or regulatory obligations or illegal conduct has occurred or has been alleged, the attorneys of Baker Donelson's Government Investigations and Litigation Group know that it is best for the client to detect and properly respond to the problem before litigation or an enforcement action is initiated against the company.
Representing companies and executives from Boston to Los Angeles and from London to Tokyo, we counsel our clients on compliance and internal reporting programs to insure this result. In some situations, the best response is for the company to conduct an internal investigation in order to determine fully the origin, extent and impact of the non-compliance or illegality. We advise our clients as to how the company can investigate and remedy the problem while avoiding costly government investigations or at least limiting exposure when government intervention occurs.
When the company initiates an internal investigation or a shadow investigation of a governmental agency's inquiry or grand jury investigation, the company faces important issues: for example, (1) Does a company employee or officer need separate counsel? (2) How are currently employed whistleblowers handled? (3) Should the results of the internal investigation be offered to the investigating governmental agency? (4) Should the company enter into joint defense or common interest agreements with its current or former targeted employees and officers or other targeted companies? (5) Are there parallel proceedings in civil cases in the United States or before administrative agencies or do civil or criminal tribunals in jurisdictions outside the United States exist whose outcomes will be affected by what we do here or which can themselves affect the outcomes of other proceedings? Within the list of representative matters below are examples of situations where Baker Donelson attorneys have worked through and resolved these issues with their clients.
Government contractors too often find themselves defending multiple fronts simultaneously. While defending a qui tam or other civil suit, founded on allegations of contractual or regulatory non-compliance, the company may also find itself responding to a governmental agency or grand jury investigation. In such cases, the company needs experienced counsel to guide the company proactively to an efficient, global resolution or to respond on the civil side while working to avoid indictment. The representative matters below include examples of cases where our attorneys have guided their clients through these parallel proceedings.
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Services Available
Members of our Government Investigations and Litigation Group assist the client in responding to grand jury, administrative or inspector general subpoenas, monitoring grand jury proceedings, negotiating immunity or other conditions of cooperation. If negotiated resolution is not possible, our teams try both civil and criminal cases, handle appeals, and fight threats of suspension, debarment and exclusion.
Here are some examples of the types of services we provide to our government contractor clients and descriptions of some of the cases we have defended:
Formulating Business Compliance
Developing appropriate policies and procedures is crucial for a business or organization. The policies and procedures implemented should address prospective problems, implement compliance programs to ensure the organization is following procedures, and maintain the integrity of the organization and its executives. Attorneys in the Government Investigations and Litigation Group prepare and review compliance plans, negotiate corporate integrity agreements, advise on reimbursements under government contracts, plan responses on whistleblower issues, and defend against debarment and exclusion from federal programs. Areas covered include the following:
- Compliance plans
- Corporate Integrity programs
- Billing practices
- Ethics and training programs
- Sarbanes-Oxley implementation
- Contracts
- Employment issues
- Tax issues
- Qualification for grant programs
- Unfair competition, antitrust and trade regulation
Defending Parallel Proceedings
Baker Donelson represents both corporate and individual clients in criminal investigations and trials, and parallel civil and administrative proceedings. The Firm's attorneys conduct internal investigations; respond to subpoenas; represent public officials and corporate witnesses and targets before grand juries and agencies; and defend officers, board members, employees, and corporations involved in antitrust, banking, securities, insurance, gaming, environmental and health care matters, and in government programs/contracts. Areas addressed by attorneys in the Group include the following:
- Whistleblower allegations
- Grand jury proceedings and investigations
- Internal investigations and audits
- Asset forfeiture
- Money laundering and bank secrecy
- Tax and securities violations
- RICO and fraud litigation
- Government contract and procurement fraud
- False Claims Act and qui tam issues
- Mail and wire fraud
- Obstruction of justice and false statements to agencies
- Unfair competition, antitrust and trade regulation
Industries represented include the following:
- Aerospace
- Construction
- Defense
- Financial Institutions
- Gaming
- Government Contractors
- Health Care
- Insurance
- Manufacturing
- Securities
- Transportation
Specific Representative Matters handled by attorneys in the group are listed below for each of these areas.
Antitrust
- Represented international construction company in a grand jury investigation spanning several districts, a qui tam action, and related proceedings arising from alleged bid rigging on overseas construction projects funded by the U.S. government. Favorable global resolution for client.
- Represented transportation company in multidistrict class action litigation alleging price-fixing of fuel surcharges.
- Represented sports equipment manufacturer in vacating antitrust consent decree.
- Represented a Dutch executive of an international transportation company in a wide-ranging grand jury investigation of price fixing. No indictment.
- Represented international vitamin manufacturers in State Attorney General suit for price fixing and indirect purchaser cases.
- Represented a domestic hospital management company and one of its executives in a civil antitrust case alleging conspiracy and monopolization. Matter settled within the coverage limits of the defendants' insurance policy and the insurance company agreed to pay the entire settlement amount.
- Represented corporation in grand jury investigation of price-fixing in catfish industry and related multi-district federal and state court civil suits. No indictment resulted; class actions settled.
- Represented executive in grand jury investigation of price-fixing in dairy industry; no indictment resulted.
- Represented contractor in grand jury investigation of road building industry price-fixing; matter resolved.
- Represented sales manager in New Jersey federal antitrust grand jury investigation of roofing industry price-fixing; immunity granted.
- Represented executive in Florida federal grand jury investigation of door industry price-fixing; immunity granted.
- Represented executive in Antitrust Division investigation of international chemical price-fixing violations.
- Represented defendants in State Attorney General prosecutions of price fixing in dairy, automobile body shop and mental health industries.
- Represented oil distributor in three-week federal price-fixing trial resulting in hung jury; subsequently changed plea to nolo contendere.
- Represented executives of glass manufacturer before federal grand jury investigating price-fixing and market allocation.
- Assisted in negotiation of global settlement agreement resolving federal bid-rigging claims against dairy farmers in 14 states and Puerto Rico.
- Represented liquor retailer in investigation and settlement of price-fixing allegations by State Attorney General.
- Represented director and officer of bedding company in grand jury investigation of market allocation and criminal contempt for violation of consent decree.
Arms Export Control Act and Foreign Asset Control
- Defended defense contracting business and its principal indicted under the Arms Export Control Act. Judgment of acquittal entered in favor of the defendants; attorney's fees awarded to defendants.
- Represented exporter of medical equipment in raid and subsequent internal investigation and resolution of exposure with OFAC and the Department of Commerce.
- Represented engineering company in OFAC and U.S. Attorney investigation resulting in settlement.
Bank/Insurance Fraud
- Represented agents in Department of Insurance investigations
- Represented a law firm and diamond dealers in Martin Frankel litigation and investigation by Department of Insurance
- Represented bank president in OCC investigation of personnel spending
- Conducted internal investigation for bank and mortgage sub of insider mortgage fraud in qualification of borrowers.
- Represented bank president in OCC negotiated resolution and 3-week trial of RICO case which resulted in favorable verdict with no recovery.
Economic Espionage Act and Intellectual Property Crimes
- Represented engineer indicted under the Economic Espionage Act based on allegations of trade secret theft; case is pending.
- Represented individual defendant in investigation and civil litigation over industrial espionage allegations.
- Represented internet seller of counterfeit DVDs charged in both China and United States.
Environmental
- Represented asbestos testing firm president in grand jury investigation of possible environmental violations; no indictment resulted.
- Represented engineering firm in grand jury environmental cleanup investigation of county supervisors and others; no indictment resulted.
- Represented petroleum products company in investigation of dumping violations by state and federal authorities.
- Represented consulting engineer in environmental crimes investigation involving wastewater violations of the Clean Water Act; no indictment resulted.
- Represented executive in hazardous waste transportation investigation; no indictment resulted.
- Represented environmental consultant before federal grand jury investigating environmental crimes in cruise ship industry.
- Assisted in negotiation of global settlement resolving all state and federal civil and criminal charges in largest prosecution for environmental crimes in Tennessee history.
- Represented railroad in connection with FBI investigation of potential criminal RCRA violations.
- Represented foam manufacturer in connection with state and federal investigations of potential criminal RCRA violations and related offenses.
- Represented chemical manufacturer in voluntary disclosure of potential pre-treatment reporting violations.
- Represented aluminum manufacturer in voluntary disclosure of falsified discharge monitoring reports.
- Represented recycler of abrasives used to remove paint from military aircraft in environmental crimes investigation; no indictment resulted.
- Represented rubber manufacturer in voluntary disclosure of falsified discharge monitoring reports.
False Claims Act and Qui Tam
- Represented defense contractor in investigation by Air Force Office of Special Investigations of processes regarding over and above claims for aircraft parts.
- Represented government contractor in internal investigation of correctness of claims of small business eligibility.
- Represented contractor accused of fraudulently billing under various contracts with the U.S. Army Corps of Engineers.
- Represented NASA contractor accused of submitting false claims for reimbursement of labor charges incurred under cost reimbursement contract. Three month trial. Verdict for less than 3% of amount sought by government.
- Represented government contractor engaged to expand commuter railway servicing major New England municipality, accused of making false claims in an environmental impact statement. Claims dismissed on summary judgment.
- Represented Department of Energy contractor accused of making false statements in worker and environmental safety documentation.
- Represented neurosurgeon under investigation by HHS-OIG regarding alleged kick-backs from surgical device manufacturers.
- Represented hospital in connection with investigation by DOJ of allegations originating from a qui tam relator that hospital was submitting false claims in connection with billing for the treatment of patients participating in pharmaceutical clinical trials.
- Represented owner/operator of home health agency regarding alleged false claims in connection with cost reports submitted to HHS.
- Represented specialized hearing clinic regarding investigation of alleged false claims submitted to Medicare for audiology tests and treatment.
- Represented family physician regarding investigation of alleged false claims submitted to Medicare and Medicaid for alleged upcoding and billing for services not rendered.
- Represented clinical psychologist in connection with investigation by DOJ regarding allegations that he was billing Medicare for services not rendered to nursing home patients.
- Represented billing coding company in DOJ investigation and qui tam lawsuit regarding upcoding of claims.
- Represented hospitals in Mississippi and Louisiana in separate U.S. Attorney investigations of billing for psychiatric services upcoded or not provided.
- Represented HMO in Louisiana in investigation of joint venture hospital management company for upcoding outpatient services.
Foreign Corrupt Practices Act
- Represented companies in Foreign Corrupt Practices Act investigations by DOJ and SEC in Indonesia, Turkey and other countries. SEC consent order with no DOJ action in one matter. Declination of prosecution by DOJ in another matter. Internal investigation with no reporting in another matter in China.
General Crimes
- Represented defendant in federal firearms prosecution and plea agreement.
- Represented civilian employee of Department of the Navy in investigation of misuse of transportation funds; settled for partial repayment without loss of employee's security clearance or job.
- Represented defendant in federal perjury investigation; no indictment resulted.
- Represented purchasers of assets potentially subject to forfeiture in negotiations with sellers and Department of Justice.
- Represented death row inmates in state and federal post-conviction proceedings.
- Represented residents of Veterans Administration facility charged with federal misdemeanors under Assimilative Crimes Act.
- Represented private provider of prisons in multiple internal investigations.
Government Contracts
- Represented Navy officials in Department of Justice investigation of improper communication of bid solicitation information.
- Represented small business contractor in voluntary disclosure to Department of Justice of internal investigation of qualifications for contracts.
- Represented government contractor in NASA Inspector General and Department of Justice False Claims Act investigation and qui tam suit regarding costs for standards testing and laboratory samples; trial completed, minimal damages verdict; debarment avoided.
- Conducted timecard internal investigation for civil engineering company/government contractor.
- Represented officers of technical college in grand jury investigation of student loans.
- Represented university professor in U.S. Attorney and Department of Education investigation of consulting contracts.
- Represented university research foundation in qui tam action alleging false scientific data in applications for research grants.
- Represented computer company in grand jury and Department of Labor investigation of job training contracts.
- Represented government subcontractor in Department of Defense investigation of supplier to military commissaries.
- Represented property manager in False Claims Act litigation regarding HUD rental assistance payments; dismissed on summary judgment.
- Represented college in False Claims Act investigation by United States Attorney of Department of Education grant; matter settled for less than single damages.
- Represented minority small business company in Department of Energy and Department of Justice investigations into alleged False Claims Act and Truth in Negotiation Act violations; client cleared of all charges.
- Counseled major defense contractor on disclosure to government of billing irregularities and successfully avoided False Claims Act liability.
- Represented Department of Energy contractor in qui tam lawsuit; settled for minimal amount following filing of motion to dismiss.
Health Care Fraud
- Represented a domestic hospital management company and two of its executives in an investigation of violations of Stark regulations; matter settled without complaint or indictment for a modest fine.
- Represented company executives in HealthSouth investigation and resulting Richard Scrushy criminal trials and civil litigation.
- Represented physical therapy clinics in criminal investigation and civil forfeiture proceedings.
- Represented podiatrists in upcoding indictment; clinic plea, dismissal of doctors from case, no exclusion.
- Represented hospital in U.S. Attorney criminal investigation of psychiatric services; negotiated civil resolution.
Public Corruption
- Conducted internal investigation of government-sponsored corporation regarding violations of lobbying rules and ethical standards; following submission of our report, regulator took no further action against corporation.
- Represented public officials in investigations of bank fraud, federal election, bribery and extortion violations.
- Represented contractors in bribery investigations of state and local officials; resolved matters.
- Represented indicted target of Independent Counsel investigation.
- Represented congressman in House Bank investigation and FEC proceeding and resolved matters without further action.
- Represented field warehouse company in suit alleging RICO violations; successful verdict upheld by Fifth Circuit Court of Appeals.
Securities
- Represented CFO of World Com in state criminal prosecutions, class action litigation, tax matters; pleas and settlements achieved.
- Represented Canadian company in SEC deregistration administrative hearing; dismissal resulted.
- Represented pharmaceutical company in SEC investigation of best price rebate amounts and parallel HHS and U.S. Attorney investigation in qui tam action; matter settled.
- Represented communications company board member in Los Angeles shareholder litigation regarding merger disclosures.
- Represented financial institution in Securities and Exchange Commission investigation of government and agency securities trading; matter settled.
- Represented tippee investors in Securities and Exchange Commission investigations of insider trading; no charges resulted.
- Represented broker-dealer in resolution of state securities violations investigated by Secretary of State. Consent order entered, NASD mediation employed.
- Represented broker-dealer in NASD investigation.
- Represented customers and broker-dealers in securities arbitrations. One case established the standard of review in arbitration by the Supreme Court of Tennessee.
- Represented defendants in SEC insider trading cases.
- Represented mutual fund CEO in SEC investigation of market timing trades.
Tax Fraud and Other Criminal Matters Involving Taxation
- Represented sole shareholder of three corporations investigated for federal income tax and state sales tax evasion; investigation is pending.
- Represented KPMG partner in Department of Justice investigation of tax shelters and related civil suits by taxpayers; settled civil cases, investigation is pending.
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