and White Collar Defense
Boies, Schiller & Flexner’s Global Investigations and White Collar Defense group represents institutions and individuals in sensitive, complex matters involving regulatory enforcement and white collar defense. We appear before the U.S. Department of Justice, the Securities and Exchange Commission, the CFTC, state Attorneys General, other state and federal agencies, foreign regulators such as the UK Financial Conduct Authority, Congress, and – when necessary – in court. Where civil or criminal proceedings are initiated, our lawyers have the experience to effectively represent corporate and individual clients at the pre-trial, trial, and appellate stages.
We also regularly conduct internal investigations on behalf of the firm’s corporate clients and their boards, and assist our clients in creating and maintaining effective compliance programs. Because every internal investigation is unique, and because the credibility, thoroughness, and independence of an internal investigation is critical, our experienced team works to develop an investigation plan that will serve those essential goals, and at the same time be as minimally disruptive to our client’s business as possible. We then work closely with our clients to help them devise the appropriate responsive actions, which can include compliance or governance reforms, personnel action, and in appropriate cases, referral to regulators, law enforcement, or even public disclosure. And because our primary goal is to prevent investigations in the first place, we also regularly counsel clients about effective corporate reform programs, and help them implement or assess remedial compliance programs.
The group comprises seasoned trial lawyers, former prosecutors, and regulators who work seamlessly across offices, leveraging the firm’s broad international network and, as appropriate, the firm’s Crisis Management and Government Response group, to effectively represent clients globally.
Lawyers in the Global Investigations and White Collar Defense group include 17 former federal prosecutors, as well as former officials from the SEC, the Federal Trade Commission, the Food and Drug Administration, various state Attorney General offices, the White House, and Congress. Collectively, the group’s partners have conducted more than 100 criminal trials.
The group has extensive experience in:
- Securities and commodities law, including insider trading and market manipulation;
- Criminal antitrust violations;
- Bank Secrecy Act/anti-money laundering violations;
- Export control and sanctions violations;
- Data privacy & cybersecurity;
- Anti-corruption laws, including the FCPA and UK Bribery Act;
- Accounting fraud;
- Criminal tax offenses;
- False Claims Act;
- National security issues; and
- Health care fraud.
Our recent representations include:
- Barclays Bank, in connection with an ongoing action by New York’s Attorney General concerning dark pools.
- A major global financial institution in investigations into LIBOR.
- A major global financial institution in DOJ (FIRREA) and state Attorney General investigations into residential mortgage backed securities.
- A major global financial institution in investigations into ISDAFIX.
- Sony Pictures Entertainment in connection with cybercrime and data privacy issues resulting from hacking.
- Maurice Greenberg, in connection with the New York Attorney General’s investigation and ongoing action concerning transactions with GenRe.
- Various traders and executives of the Galleon Group, including its President, in connection with the wide-ranging insider trading investigation conducted by the U.S. Attorney’s Office.
- A whistleblower, in connection with a False Claims Act complaint brought against Trinity Industries for defrauding the federal government, for whom we successfully obtained a $175 million jury award, which is subject to trebling.
- Corporate management and accounting fraud investigations on behalf of Qwest Communications International Inc. and Tyco International
- Internal investigations on behalf of the non-executive members of the Board of Directors of RenaissanceRe Holdings, Ltd.
- A major global financial institution in a government and internal investigation into theft of trade secrets.
- A major global financial institution in an internal review of business lines to assess potential regulatory and reputational risk.
- A foreign financial institution in an internal assessment of risks associated with OFAC sanctions compliance.
- A foreign defense contractor in an internal investigation relating to corruption allegations.
- An individual target of a House Committee on Oversight and Government Reform investigation into political targeting at the IRS.
- Sofitel, in connection with allegations of sexual assault and attempted rape made by a hotel maid against Dominique Strauss-Kahn at the Sofitel New York Hotel in 2011.
- Numerous hedge funds, private equity funds, and other entities in connection with SEC investigations.