Public companies in the United States are subject to a laundry list of federal laws and regulations. The U.S. Securities and Exchange Commission (SEC) is responsible for enforcing these laws and regulations, and it routinely...more
U.S. companies with international clients or customers have to comply with far more laws and regulations than companies that only operate domestically. These include laws and regulations enforced by the U.S. Office of Foreign...more
Yesterday, the U.S. Department of Justice (DOJ) announced that it has filed charges against 36 defendants in relation to an alleged health care fraud scheme that resulted in approximately $1.2 billion in fraudulent payments....more
7/21/2022
/ Centers for Medicare & Medicaid Services (CMS) ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Actions ,
FBI ,
Health Care Providers ,
Healthcare Fraud ,
Kickbacks ,
Medicare ,
Medicare Beneficiaries ,
Physician Medicare Reimbursements ,
Physicians ,
Telehealth ,
Telemarketing ,
Telemedicine
FDA Warning letters can be harbinger of formal civil and criminal investigations. If your business receives such a notice of non-compliance from the FDA, you should immediately contact an experienced FDA defense attorney....more
3/2/2022
/ Attorney-Client Privilege ,
Corrective Actions ,
Criminal Investigations ,
Deadlines ,
Defense Strategies ,
Enforcement Actions ,
FDA Warning Letters ,
Federal Food Drug and Cosmetic Act (FFDCA) ,
Food and Drug Administration (FDA) ,
Internal Investigations ,
Manufacturer Liability ,
Manufacturers ,
Risk Assessment
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
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
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)
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
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
When the COVID-19 crisis struck in early 2020, the immediate need for mass quantities of personal protective equipment (PPE) resulted in major supply shortages that made headlines across the country. As suppliers scrambled to...more
12/28/2020
/ Coronavirus/COVID-19 ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Actions ,
FBI ,
Fraud ,
Health and Safety ,
Health Care Providers ,
Medical Supplies ,
Personal Protective Equipment ,
Price Gouging ,
Suppliers ,
Supply Chain
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