Section 206 of the Investment Advisers Act of 1940 is one of the many laws the U.S. Securities and Exchange Commission (SEC) uses to combat investment fraud. Under Section 206, investment advisers can face enforcement action...more
Several federal agencies rely on search warrants to gather evidence in support of their law enforcement efforts. If you have received a search warrant from the Federal Bureau of Investigation (FBI), Drug Enforcement...more
9/28/2021
/ Admissible Evidence ,
Asset Seizure ,
Criminal Investigations ,
Criminal Prosecution ,
DEA ,
Defense Strategies ,
Electronically Stored Information ,
Evidence ,
FBI ,
Federal Prosecutors ,
Government Investigations ,
Immigration and Customs Enforcement (ICE) ,
Indictments ,
Law Enforcement ,
Obstruction of Justice ,
Risk Mitigation ,
Search & Seizure ,
Search Warrant ,
Subpoenas
Receiving a federal grand jury subpoena is a serious matter. Whether you are the target of a federal investigation or prosecutors believe you have information they can use to pursue charges against another person or company,...more
9/21/2021
/ Criminal Investigations ,
Criminal Prosecution ,
Defense Strategies ,
Document Review ,
Evidence ,
Government Investigations ,
Grand Juries ,
Litigation Hold ,
Motions to Quash ,
Noncompliance ,
Subpoenas ,
Testimony ,
U.S. Attorney ,
Witness
The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more
9/7/2021
/ Broker-Dealer ,
Churning ,
Defense Strategies ,
Enforcement Actions ,
Evidence ,
Initial Coin Offering (ICOs) ,
Initial Public Offering (IPO) ,
Insider Trading ,
Investigations ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Firms ,
Market Manipulation ,
Misappropriation ,
Misrepresentation ,
Omissions ,
Publicly-Traded Companies ,
Regulatory Violations ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Fraud ,
Securities Violations ,
Statutory Violations ,
Subpoenas ,
Unregistered Securities ,
Wells Notice ,
Witness Statements
The Computer Fraud and Abuse Act (CFAA), codified at 18 U.S.C. Section 1030, is one of the U.S. Department of Justice’s most potent weapons in its fight against cybercrimes. It outlines numerous offenses, and it imposes...more
9/1/2021
/ Computer Fraud and Abuse Act (CFAA) ,
Criminal Conspiracy ,
Criminal Prosecution ,
Cyber Crimes ,
Cyber Threats ,
Cybersecurity ,
Defense Strategies ,
Department of Justice (DOJ) ,
Felonies ,
Misdemeanors ,
Popular ,
Risk Mitigation ,
Unauthorized Access
Clinical laboratories such as respiratory and clinical labs that bill Medicare, Department of Health and Human Services (“DHHS”) programs, and other federal programs are subject to oversight by the Office of Inspector General...more
7/14/2021
/ Chief Compliance Officers ,
Clinical Laboratories ,
Compliance ,
Compliance Commitees ,
Coronavirus/COVID-19 ,
Criminal Prosecution ,
Defense Strategies ,
Department of Justice (DOJ) ,
False Billing ,
Fraud and Abuse ,
Health Care Providers ,
Healthcare Fraud ,
Indictments ,
Investigations ,
OIG ,
Policies and Procedures ,
Virus Testing
The U.S. Food and Drug Administration (FDA) is investigating companies that produce and sell poppy seeds due to growing concerns over contamination with a controlled substance. In doing so, it is collaborating with the Drug...more
6/24/2021
/ Controlled Substances ,
Criminal Conspiracy ,
Criminal Investigations ,
Criminal Prosecution ,
DEA ,
Defense Strategies ,
Drug Distribution ,
FBI ,
Food and Drug Administration (FDA) ,
Food Contamination ,
Intent to Defraud ,
Opioid ,
Regulatory Oversight ,
Seeds ,
Wrongful Death
The U.S. Department of Justice (DOJ) is cracking down on healthcare fraud, and many providers are finding themselves facing serious allegations. This includes criminal allegations in many cases. If these allegations lead to a...more
6/8/2021
/ Arraignment ,
Criminal Prosecution ,
Defense Strategies ,
Department of Justice (DOJ) ,
Discovery ,
Evidence ,
Federal Prosecutors ,
Fraud and Abuse ,
Health Care Providers ,
Healthcare Fraud ,
Indictments ,
Motion to Dismiss ,
Physicians ,
Plea Negotiations ,
Pre-Trial Motions ,
Preliminary Hearings
The U.S. Securities and Exchange Commission (SEC) protects investors by enforcing the nation’s securities laws. It can investigate all forms of securities fraud, including fraud committed by securities issuers,...more
6/1/2021
/ Business Entities ,
Corporate Executives ,
Criminal Liability ,
Defense Strategies ,
Document Productions ,
Electronically Stored Information ,
Internal Investigations ,
Investors ,
Privileged Communication ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Subpoenas ,
Testimony
Zone Program Integrity Contractors (ZPICs) and Unified Program Integrity Contractors (UPICs) are federal contractors who work under the direction of the Centers for Medicare and Medicaid Services (CMS) to uncover fraudulent...more
5/25/2021
/ Audits ,
Centers for Medicare & Medicaid Services (CMS) ,
Defense Strategies ,
Department of Justice (DOJ) ,
Enforcement Actions ,
False Billing ,
Health Care Providers ,
Healthcare Fraud ,
Medicare ,
Overpayment ,
Provider Payments ,
Underpayment ,
Zone Program Integrity Contractors (ZPICs)
1. AML Laws -
Federal anti-money laundering (“AML”) laws are complex in nature and apply to a broad category of institutions and businesses. One of the most important AML laws is the Bank Secrecy Act, which obligates...more
5/18/2021
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Broker-Dealer ,
BSA/AML ,
Compliance ,
Criminal Investigations ,
Criminal Prosecution ,
Customer Identification Program (CIP) ,
Defense Strategies ,
Due Diligence ,
Financial Institutions ,
Policies and Procedures ,
Popular ,
Reporting Requirements ,
Suspicious Activity Reports (SARs)
The U.S. Securities and Exchange Commission (SEC) investigates companies (and individuals) for a broad range of federal offenses. This includes offenses that are both civil and criminal in nature, and that can carry penalties...more
5/4/2021
/ Civil Liability ,
Corrective Actions ,
Criminal Liability ,
Defense Strategies ,
Enforcement Actions ,
Investigations ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Securities Violations ,
Subpoenas
As the nation’s chief domestic investigative agency, the Federal Bureau of Investigation (FBI) has substantial authority to collect information through a variety of different means. This includes utilizing subpoenas to compel...more
4/20/2021
/ Attorney-Client Privilege ,
Criminal Investigations ,
Criminal Prosecution ,
Deadlines ,
Defense Strategies ,
Evidence ,
FBI ,
Federal Prosecutors ,
Motions to Quash ,
Privileged Documents ,
Self-Incrimination ,
Subpoenas ,
Testimony
Medicare pays billions of dollars in fraudulently billed claims each year. To recoup as many fraudulent reimbursements as possible, the Centers for Medicare and Medicaid Services (CMS) relies on various enforcement...more
4/6/2021
/ Centers for Medicare & Medicaid Services (CMS) ,
Defense Strategies ,
Documentation ,
False Billing ,
Fraud and Abuse ,
Health Care Providers ,
Healthcare Fraud ,
MACs ,
Medicare ,
Physicians ,
Recovery Audit Contractors (RACs)
If you have received a federal indictment, you are facing a serious set of circumstances. Unless you are able to have your indictment dismissed, you will go to trial on federal charges, and you will be at risk for facing...more
3/17/2021
/ Affirmative Defenses ,
Burden of Proof ,
Criminal Convictions ,
Criminal Investigations ,
Criminal Prosecution ,
Defense Strategies ,
Dismissals ,
Evidence ,
Guilty Pleas ,
Indictments ,
Mistrial ,
Plea Agreements
What Is A Target Letter?
Federal investigations are complex, time-consuming, and often a cause of great anxiety for the individuals involved. The government has a variety of tools in its arsenal to gather preliminary...more
3/2/2021
/ Criminal Investigations ,
Criminal Prosecution ,
Defense Strategies ,
Department of Justice (DOJ) ,
Document Productions ,
Evidence ,
Government Entities ,
Government Investigations ,
Grand Juries ,
Subpoenas ,
Target Letters ,
Testimony ,
Witness
The Federal Trade Commission (FTC) is the nation’s chief of consumer protection agencies. In fulfilling its “dual mission to protect consumers and promote competition,” the FTC conducts targeted investigations on unfair or...more
What Is the Federal Trade Commission (“FTC”)?
The Federal Trade Commission (“FTC”) is a federal agency that enforces consumer protection laws and competition regulation in the United States. Its dual mission is (1) to...more
1/27/2021
/ Civil Investigation Demand ,
Competition ,
Consumer Fraud ,
Consumer Protection Laws ,
Criminal Investigations ,
Defense Strategies ,
Document Productions ,
Enforcement Authority ,
Failure to Comply ,
Federal Trade Commission (FTC) ,
FTC Act ,
Internal Investigations ,
Subpoenas ,
Testimony ,
The Clayton Act ,
Unfair or Deceptive Trade Practices
Civil investigative demands (“CIDs”) are powerful tools used by state and federal agencies to gather information that will be used to investigate and prosecute individuals, corporations, physicians, and executives, etc. for...more
12/15/2020
/ Burden of Proof ,
Civil Investigation Demand ,
Data Preservation ,
Defense Strategies ,
Discovery ,
Document Productions ,
Document Requests ,
Evidence ,
Investigations ,
Settlement Negotiations ,
Testimony
As a doctor, allegations of medical malpractice or other unlawful or unethical conduct can have wide-ranging implications. In addition to facing civil liability and the prospect of a significant increase in your medical...more
11/11/2020
/ Administrative Law Judge (ALJ) ,
Defense Strategies ,
Health Care Providers ,
Healthcare Fraud ,
License Suspensions ,
Licensing Boards ,
Medical License ,
Medical Malpractice ,
Physicians ,
Professional Disciplinary Actions ,
Professional Misconduct ,
Revocation ,
Settlement
For public and private companies in all industries, the risk of being targeted in a U.S. Securities and Exchange Commission (SEC) investigation is a very real concern. As new and innovative securities offerings continue to be...more
10/24/2020
/ Celebrity Endorsements ,
Compliance ,
Defense Strategies ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Fraud ,
Government Investigations ,
Influencers ,
Initial Coin Offering (ICOs) ,
Initial Exchange Offering (IEO) ,
Investment Fraud ,
Popular ,
Privately Held Corporations ,
Publicly-Traded Companies ,
Scams ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Securities Tokens ,
Securities Violations ,
Structured Financial Products ,
Virtual Currency
Tips on Preparing to Defend Against Allegations of SBA Loan Fraud During the COVID-19 Crisis -
Federal emergency relief legislation—including the Coronavirus Aid, Recovery, and Economic Security Act (“CARES Act”)—has...more
8/28/2020
/ CARES Act ,
Coronavirus/COVID-19 ,
Criminal Conspiracy ,
Criminal Investigations ,
Defense Strategies ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
False Statements ,
FBI ,
Fraud ,
Identity Theft ,
Indictments ,
IRS ,
Loans ,
Mail Fraud ,
Misrepresentation ,
Paycheck Protection Program (PPP) ,
Risk Assessment ,
Risk Mitigation ,
SBA ,
Small Business ,
Small Business Loans ,
Tax Evasion ,
Wire Fraud