As government scrutiny increases, corporate conduct becomes more visible. Our attorneys conduct internal investigations and represent clients facing actual or threatened government enforcement. We also represent clients in False Claims Act and other civil fraud litigation and administrative proceedings.


In these sensitive and complex matters, the fully informed judgment of experienced attorneys is critical. Our lawyers have the background and experience to respond effectively to government investigations, running the gamut from regulatory actions, Inspectors General investigations, and state and federal grand juries to search warrants and warrantless searches.

A number of our attorneys have worked at government agencies and have first-hand experience dealing with them. We also have a history of successfully defending clients in the courtroom should the need for litigation arise. Among the seasoned veterans in our group are members of the prestigious American College of Trial Lawyers, former federal and state prosecutors, and former public defenders. Our attorneys include:

  • the former Assistant Director of the Division of Corporation Finance at the SEC
  • a former Enforcement Attorney for the U.S. Environmental Protection Agency
  • former Assistant U.S. Attorneys from nine U.S. Attorneys' offices
  • a former Criminal Healthcare Fraud Coordinator for the District of Delaware
  • a former trial attorney for the Tax Division of the U.S. Department of Justice
  • a former Cybercrime Coordinator/National Security Cyber Specialist for the District of Delaware, and federal cybercrime prosecutor for the Eastern District of Virginia
  • two former field attorneys for the National Labor Relations Board
  • the former Chairman of the Nevada Gaming Commission
  • the former First Deputy Attorney General of Pennsylvania
  • the former OCR Supervisory General Attorney for the U.S. Department of Education

Our clients include financial institutions, accounting firms, pharmaceutical and medical device manufacturers, hospitals, universities, defense contractors, energy companies, chemical manufacturers, utilities, and numerous other businesses, including Fortune 500 companies. We also represent individuals, including public officials, corporate directors, officers, managers, and other employees; and professionals, such as lawyers, doctors, and accountants.

Government Investigations and White Collar Defense

We represent clients at all stages of white collar criminal proceedings, from responding to grand jury subpoenas to trial, appeal, and post-conviction litigation. When retained during the investigative stage, our attorneys have a long track record of success in resolving the matter without the filing of any criminal charges.

We handle virtually every type of federal criminal case, including criminal antitrust, government procurement fraud, environmental crimes, election law, financial fraud, tax fraud, and health care fraud. We represent clients in matters involving the Foreign Corrupt Practices Act, the Bank Secrecy Act, securities fraud, public corruption, money laundering, export violations, labor and immigration violations, as well as in suspension, debarment, and exclusion proceedings.

Our skill and reputation for success in trying criminal cases serve as a powerful basis for negotiating the best possible resolutions for our clients. Although we regularly handle high-profile cases, most of our matters never go to litigation or become publicly known. Instead, our lawyers resolve matters without charges filed, lawsuits brought, or reputations harmed.

We also help clients anticipate and respond to unexpected crises, such as the execution of criminal or administrative search warrants or government investigations arising from catastrophic industrial accidents.

Our lawyers pride themselves on working efficiently, getting up to speed quickly, being acutely sensitive to the client's needs in very difficult situations, and applying creativity in reaching the optimal solution.

Government Regulatory Enforcement

We frequently represent clients in enforcement and regulatory actions initiated by the SEC, stock exchanges, and FINRA. Several of our attorneys have worked as staff members at the SEC, giving them invaluable insight as they guide clients through the regulatory requirements of federal and state securities laws.

CORPORATE AND FOREIGN Internal Investigations

Conducting internal investigations is a major part of our practice. Our attorneys work quickly and effectively to deliver critical information to boards of directors, audit committees, legal counsel, senior management, and other corporate sponsors. We have experience conducting internal investigations in such highly regulated industries as health care, pharmaceutical, banking and defense contracting, as well as for potential securities and environmental violations, and possible violations of internal codes of conduct and ethics.

We advise strategically on employment issues, remedial measures, and government disclosures.

We know how burdensome and disruptive investigations can be to the workplace. Our attorneys work closely with clients to address issues revealed by an internal investigation to reduce corporate risk.

RECEIVERSHIPS

Attorneys in our group have served as court-appointed receivers by state and federal courts throughout the country, including the U.S. District Court for the Southern District of New York, the Central and Southern Districts of California, the District of Utah, and the District of Nevada. These receiverships have involved actions brought by the SEC, FTC, and state regulatory agencies to terminate Ponzi schemes, FOREX scams, and deceptive trade practices.

Compliance

We have significant experience establishing, refining, and strengthening clients' compliance and ethics programs, employee training, personnel practices, and corporate structure and governance. A well-designed and -managed compliance program can help prevent situations that trigger a government investigation and mitigate consequences if one occurs. Our experience in this area dates to the mid-1980s, when these programs were first developed on behalf of defense contractors and for environmental compliance.

Our attorneys help clients implement their internal compliance and ethics programs. We advise clients on all aspects of corporate governance compliance, including SEC, Sarbanes-Oxley, and stock exchange regulatory requirements. We assist clients with issues relating to the formation and functions of board committees and assessments as part of ongoing compliance efforts.

We also advise in-house corporate counsel, compliance counsel, and compliance officers on the appropriate response to compliance issues as they arise. The government's emphasis on health care fraud prosecutions has made counsel in the use of effective compliance programs by health care organizations one important component of our practice.

Civil and Administrative Litigation

Our practice handles civil and administrative litigation that can arise as a consequence of government investigations. We defend corporations against securities fraud class actions, handle treble damage antitrust suits, represent clients in suspension/debarment/exclusion proceedings, and handle potential tax issues and litigation arising with federal and state taxing authorities, including voluntary disclosures and possible tax penalty resolution. We also deal with professional boards, including legal, medical, and accounting licensing boards, and ethics commissions.

Civil False Claims/Qui Tam Defense

We have extensive experience in litigating False Claims Act cases brought either directly by the government or on behalf of the government by qui tam whistle-blowers. The group has defended numerous matters for health care service providers, managed-care companies, pharmaceutical manufacturers, defense contractors, universities, and research institutions.

International Issues: Foreign Corrupt Practices Act, Arms Export Control Act, and International Traffic in Arms Regulations (ITAR)

Our attorneys assist clients in navigating the requirements of the Foreign Corrupt Practices Act. This includes counseling on the accounting provisions of the act as well as its antibribery provisions.

We handle matters involving international export compliance, such as the Arms Export Control Act and the International Traffic in Arms Regulations (ITAR). We draft directed disclosure responses and voluntary disclosures on behalf of clients for the State Department, advise on ITAR and export control matters as they relate to foreign persons, conduct compliance programs in Export Control/ITAR matters, and represent clients in investigations involving the Department of Commerce, Customs Border Protection, and Federal Bureau of Investigation.

Contact

Henry E. Hockeimer, Jr.  
Practice Leader
Tel 215.864.8204
hockeimerh@ballardspahr.com