White Collar, Government Investigations & Regulatory Compliance
Benesch’s approach to white collar, government investigations and regulatory compliance matters is twofold: to assist clients first and foremost to understand and mitigate areas of potential risk before problems can occur as well as to vigorously defend their interests when necessary.
Our attorneys are counselors, first, who provide sound, proactive advice to clients based on comprehensive, inside-out understanding of their businesses—their history, strategic priorities, where they want to go, and where they can’t afford to go. But if problems, investigations or litigation arise, our team, including former prosecutors and veteran trial lawyers, are highly skilled and experienced in achieving favorable outcomes for our clients.
Prevention through experience and industry insight
Operating in compliance with applicable laws and regulations is an everyday activity for businesses. But there’s another aspect that is just as essential: avoidance. Given the scope, scale and potential for business disruption and significant costs, organizations should be doing what they can to not only comply but also avoid problems before they can arise.
If companies wait too long to obtain guidance, the available options are less promising, more painful, and can be notably more expensive. Benesch’s proactive approach to risk avoidance—the GRACE Initiative (Government Regulatory Avoidance Compliance Enforcement)—involves clients in early assessment and intervention to prevent problems before they can arise. This approach leverages not only the deep industry, legal, and investigatory knowledge and experience of our attorneys but also our clients’ deep knowledge of their industry and business, including practices, risks and threats. By working collaboratively, we assist our clients in building a strong foundation of effective, compliant business practices.
Rigorous defense whenever and wherever necessary
The wrong response to a subpoena, audit letter, records request or civil investigative demand can create ripple effects that consume your attention and disrupt the future of your business. Our White Collar, Government Investigations and Regulatory Compliance team has experience in all manner of federal and state investigations, prosecutions, and regulatory compliance efforts and represents both individuals and corporations. Benesch’s team provides advice, policy review, defense strategy and vigorous defense during all critical stages of representation.
For questions regarding Benesch's White Collar, Government Investigations & Regulatory Compliance Practice Group, contact Mark Silberman at msilberman@beneschlaw.com or 312.212.4952.
Experience
- Internal and Governmental Investigations: Conducted investigations for Fortune 500 companies regarding: (1) $7 million accounting fraud that occurred during a merger; (2) theft of over $100 million by a CEO; (3) criminal theft of trade secrets, and (4) FCPA violations in Indonesia. Conducted extensive internal investigation for company regarding potential employee theft of competitor’s trade secrets; Conducted internal investigation based on SEC order regarding SEC’s allegations that multi-national bank impermissibly failed to write-off loans on bank’s financial statements; Conducted internal investigation of Chinese company accused of violations of the Economic Espionage Act.
- Civil Litigation: Successfully defended Illinois’s largest Medicaid provider in fraud investigation and secured restraining order against State of Illinois preventing State from withholding Medicaid funds from provider.
- Federal Criminal Defense: Defended multiple federal criminal cases including: healthcare fraud, mortgage fraud, and federal program bribery; DefendedHead of Sales of Fortune 500 company against allegations that he paid bribes to Chicago-area politicians;Defended Chicago Alderman Willie B. Cochran in federal bribery charges.
- Trials: Conducted 20 jury trials to verdict
- Healthcare Fraud: Defended podiatrist and related company accused of committing over $70 million in Medicare fraud by creating and implementing a computerized medical records system that automatically qualified all medical treatments for Medicare coverage.
- Civil Litigation: Handled several multi-million dollar civil suits in federal court on various subject matters, including: construction defects, civil RICO, common law fraud, breach of contract, and civil rights.
- False Claims Act Defense: Defended nursing home conglomerate in federal False Claims Act investigation regarding allegations of “worthless care” by nursing home staff; Defended home health care agency against civil and criminal allegations of false billing.
- Public Investigations: Defended two City of Chicago employees in Office of the Inspector General investigation into environmental malfeasance; Defended multiple corporations in OIG investigations into alleged WBE and MBE fraud.
- Securities Fraud: Represented financial advisor in SEC 10b5 investigation; Managed team representing multinational bank being investigated by SEC for improperly writing off loans.
- Secured probation for internal medicine physician accused of fraudulently billing Medicare and insurance companies over $3 million.
- Civil Litigation: Represented School Superintendent in contract termination proceedings in front of school board and circuit court.
- Fraud: Investigated and tried a 15-defendant, $3 million corporate check fraud scheme involving the creation of fake entities at the Illinois Secretary of State for the purpose of depositing and cashing large denomination corporate checks at various commercial banks.
- Healthcare Fraud: Served as lead appellate attorney in United States v. Borassi, the Seventh Circuit’s leading case on the applicability of the safe harbor provision of the anti-kickback provision of the Medicare Fraud Statute.
- Ethics: Represented two attorneys, one charged with criminal contempt and the other facing disbarment from bankruptcy court.
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Civil Litigation: Defended international union in federal civil suit alleging impermissible “secondary boycotting.”
- Securities Fraud: Tried and secured a securities fraud conviction against a defendant who fraudulently advertised the type of securities in which he intended to invest customer money and instead ran investment accounts in a manner similar to a Ponzi scheme.
- Fraud: Investigated and tried a 16-defendant, $3 million identity theft scheme involving employees of major commercial banks compromising customers’ bank accounts and other identifying information.
- Assisted in investigation for company concerning alleged kickbacks and bribes in connection with government contract.
- Investigated accounting irregularities allegations for high-profile healthcare technology company.
- Represented major healthcare system in response to U.S. Attorney’s Office and DEA allegations that healthcare system violated Controlled Substances Act and DEA regulations in connection with significant controlled substances loss.
- Represented major healthcare system in response to DEA inquiry after healthcare system reported employee controlled substances diversion.
- Represented major healthcare system regarding Controlled Substances Act and DEA regulations compliance related to controlled substances transfers between hospital and outpatient offices within healthcare system.
- FTC investigation into telemarketing company. Settled w/o formal litigation.
- Represented CEO and family owners of business in management of government investigation, response to search warrant, and successful self-disclosure of unrelated violations (resulting in declination of charges resulting from cooperation).
- Assisted to design, development, and implementation of preventative Foreign Corrupt Practices Act protocol for multinational client.
- As prosecutor, tried multiple first-degree murder jury trials, along with bench trials and jury trials for dozens of other felony offenses.
- OH Atty General, Antitrust Section—Investigation into client in assistant-living & skilled-nursing industry. Resolved w/o litigation.
- Represented corporate leadership in relation to Order to Show Cause, administrative hearing, and counterclaim seeking to injunctive relief to dissolve order of immediate suspension from participation in government program.
- FTC investigation into digital-marketing company, its officers, and its payment processor. Represented former Chief Revenue Officer through investigation, motion to dismiss, and discovery. Matter is ongoing. Representation discontinued.
- Represented business owner facing allegations of fraud and related regulatory violations, resulting in successfully facilitation of cooperative proffer agreement with government.
- Defense of a CEO and Board Chairman of a publicly traded company in an OSHA proceeding brought by a whistleblower alleging Sarbanes Oxley violations.
- Represented multiple business in government audits and OIG investigations seeking recoupment of government issued funds.
- Management of internal investigation to evaluate potential need for self-disclosure and evaluation of potential False Claims Act liability.
- Represented business owner in response to grand jury subpoena and in presentation of testimony relevant to establishment of industry standards
- Represented business owners challenging sufficiency of regulatory decision, resulting in reversal and issuance of landmark decision by Appellate Court, Medina Nursing Ctr, Inc. v. Health Facilities & Servs. Review Bd., 2013 IL App (4th) 120554 (2013)
- Successful management of investigation into alleged conduct of executive resulting in declination of any charges (resulting in indictment of six other individuals);
- Design and implementation of preventive policies and procedures to manage likely government inquiries, audits, and investigations for highly regulated business.
- Represented individual unit owners in obtaining temporary restraining order (“TRO”) and successfully mediated dispute involving fiduciary duty of condominium building Board of Directors.
- Represented national professional association in drafting of multiple amicus briefs in state, federal, and U.S. Supreme Court related to government oversight.
- Represented long-term care facility in legal challenge to Centers for Medicare and Medicaid Services (“CMS”) five-star rating system including conduct of oral arguments in the Seventh Circuit, Bryn Mawr v. Sebelius, 749 F.3d 592 (2014)
- Represented equity ownership in self-disclosure to Office of Inspector General related to submission of claims to government in violation of regulatory standards
- Represented physician at sentencing hearing facing various criminal charges, ultimately obtaining sentence of probation, including recommendation from federal judge that physician be allowed to retain license to practice medicine.
- Coordinated responses to Civil Investigative Demands from U.S. Attorney’s Offices for technology, finance, health care, construction and other companies.
- Negotiation of successful cooperation agreement and related resolution of criminal and administrative charges for Owner/CEO.
- Represented wholesale distributor in DEA seizure action and filed writ of mandamus resulting in DEA returning millions of dollars of active pharmaceutical ingredients.
- Management of government audit/investigation into industry leader following successful self-disclosure of regulatory error.
- Represented corporation in False Claims Act litigation alleging systematic submission of billing to government below established regulatory standards
- Represented CEO in appearance before government investigative body
- Represented CEO of business facing allegations of violating Anti-kickback statute and submission of fraudulent bills to government
- Testified in murder trial, as outside general counsel, on behalf of institutional client requested to produce documentation and establish foundation before jury.
- Represented CEO/owner related to criminal charges alleging regulatory violations and submission of false claims.
- Represented business in multiple-year government investigation in response to seizure of paper documents and enterprise computer systems resulting in no charges being filed and effecting return of all seized records and materials.
- Represented long-term care pharmacy in DEA audits and compliance investigations.
- Represented multinational corporate in responding to subpoena from federal bureau of investigations seeking production of international documentation regarding alleged conduct of former employee
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Represented the U.S. in health care fraud investigations involving kick-backs, false billing, and false claims.
- Represented the U.S. in prosecuting, investigating, and trying cases involving tax fraud, money laundering, bankruptcy fraud, and securities fraud.
- Represented the U.S. in successfully trying former hedge-fund employee charged with embezzling funds, wire fraud, and bank fraud.
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Performed internal investigations for clients relating to alleged submission of false information to the government, alleged accounting fraud, liability for historic industrial activities and cause of failures of products manufactured by client.
- Analyzed environmental indemnity contracts and advised client on strategy for handling claims from purchaser of multiple historic chemical manufacturing sites.
