Criminal Investigation Defense Attorney

Corporate investigations can arise from whistleblower complaints, regulatory referrals, competitor complaints, or law enforcement discovery during an unrelated matter. They may target the corporation, individual executives, or both, and parallel civil, regulatory, and criminal proceedings often unfold at the same time. The decisions made in the first days determine the outcome for the company and everyone involved, including whether and how to cooperate, how to conduct internal investigations without waiving privilege, and how to protect executives with separate exposure.

These calls cannot be made without experienced counsel in place.

The SEC and CFTC investigate potential violations of federal securities and commodities laws, and both agencies can refer matters to the DOJ for criminal prosecution.

Common areas of investigation include:

• Insider trading and market manipulation
• Ponzi schemes and unregistered securities offerings
• False statements in public filings
• Fraud and manipulation in commodity futures, options, and swaps markets
• Digital assets and cryptocurrency violations

A critical milestone in SEC matters is the Wells Notice, a formal notification that enforcement action is being recommended. Your Wells submission is one of the most consequential documents in a securities enforcement matter. Getting it right can result in charges being reduced or dropped. Getting it wrong can make things significantly worse.

Every major federal agency has its own Office of Inspector General.

OIG investigations are particularly common in:

• Healthcare fraud including Medicare and Medicaid false claims and kickbacks
• Government contracting involving false claims or bid rigging
• Federal program fraud including benefits and grant fraud
• Federal employee misconduct and abuse of office

OIG investigations can result in criminal referrals to the DOJ, civil False Claims Act liability, and administrative consequences including exclusion from federal programs, which can be career-ending for healthcare providers and federal contractors. The False Claims Act carries treble damages plus civil penalties per false claim, on top of criminal prosecution risk.

Common signs include contact from law enforcement, subpoenas, search warrants, requests for interviews, inquiries involving financial records, visits to coworkers or family members, or learning that others connected to you are being questioned.

Politely decline to answer questions without your attorney present. You have the right to remain silent regardless of whether you are a target, subject, or witness. Statements made to federal agents, even apparently innocent ones, can have serious consequences. Contact us immediately.

In most situations, no. Even innocent statements can be misinterpreted or used against you. Investigators are trained to gather information that supports their case, and speaking without an attorney present creates unnecessary risk regardless of your actual innocence.

A Wells Notice is a notification from SEC staff that they intend to recommend enforcement action against you. It triggers the right to submit a Wells response, a written submission explaining why enforcement action is unwarranted. This is one of the most critical documents in a securities enforcement matter and requires immediate, experienced legal attention.

OIG investigations target fraud, waste, and misconduct in federal programs. They can and frequently do result in criminal referrals to the DOJ, civil False Claims Act liability, and administrative consequences including exclusion from federal healthcare programs. If you are contacted by any OIG or believe an OIG investigation may involve you, contact an attorney before responding.

A subpoena is a legal demand requiring a person to provide testimony, records, or other evidence. Subpoenas cannot be ignored, and responding improperly can create additional legal exposure. Contact an attorney before taking any action in response to a subpoena.

A target is someone the government already has substantial evidence against and expects to charge. A subject is someone whose conduct falls within the scope of the investigation but who has not yet been identified as a likely defendant. A witness has no current criminal exposure but can become a subject or target as the investigation develops. All three statuses carry risk, and all three warrant legal representation.