White Collar Defense and Investigations

Overview

The White Collar Defense and Investigations Practice Group defends businesses, senior executives, public officials and other individuals in a wide range of investigations and prosecutions. The group is composed of more than 100 lawyers practicing across our U.S. and international offices and draws on the expertise of more than 75 of its members with extensive government experience.

Global Investigations Review ranked Gibson Dunn No. 1 in its 2020 GIR 30, its annual “ranking of the world’s best investigations practices,” for the third consecutive year. Who’s Who Legal named the firm its Investigations Firm of the Year at its 2019 Who’s Who Legal Awards. Benchmark Litigation Asia-Pacific 2020 ranked the firm in its Hong Kong White Collar Crime – International Firms category. Chambers and Partners also named Gibson Dunn the winner in the Corporate Crime & Government Investigations category at its 2018 USA Excellence Awards.

The American Lawyer named Gibson Dunn its 2020 Litigation Department of the Year, recognized as the “best of the best.” This unprecedented achievement was the firm’s fourth win in the last six years of the publication’s biennial “Litigation Department of the Year” competitions, and the sixth time in a row the firm has been a finalist. Gibson Dunn also was named a finalist for the White Collar/Regulatory Department of the Year, and in 2016 was the winner. Benchmark Litigation recognized Gibson Dunn as the White Collar/Enforcement/Investigations Firm of the Year at its 2017 U.S. Awards dinner, and Law360 named the firm a 2017 White Collar Practice Group of the Year.

Many cases involve simultaneous criminal, civil and regulatory actions arising out of the same events. To handle them, Gibson Dunn’s White Collar group draws on the full range of our skills and resources, collaborating with lawyers in other practice groups, allowing us to work with clients in almost every business sector in a wide array of substantive areas that includes:

Anti-money laundering
Antitrust
Computer and intellectual property crimes
Environmental violations and compliance
Export/import violations
U.S. False Claims Act
U.S. Foreign Corrupt Practices Act and U.K. Bribery Act
Health care fraud
Privacy and cybersecurity
Procurement fraud
Securities, financial institution and accounting fraud
Tax offenses

Our areas of service include:

Representation in grand jury and other government investigations
U.S. federal and state trials
Criminal appeals
Internal investigations
Representation in U.S. congressional and other legislative investigations
Regulatory defense
Compliance and internal-controls reviews and audits
Monitorships

The White Collar Defense and Investigations group includes numerous former U.S. federal and state prosecutors and officials, many of whom served at high levels within the U.S. Department of Justice, the Securities and Exchange Commission and other key investigative and prosecutorial arms of the government. Our lawyers use firsthand knowledge of how government agencies conduct investigations and prosecutions to assist our clients in navigating those processes successfully.

Our White Collar group teams with Gibson Dunn’s Crisis Management Practice to provide coordinated and efficient advice. The right response to a crisis requires a cohesive team equipped to immediately respond in an organized and strategic manner on multiple fronts, before issues become framed and fixed in the public mind. This requires interacting immediately and simultaneously with federal and local prosecutors, regulatory agencies, concerned investors and directors, the private plaintiffs’ bar, congressional investigators and the media.

Gibson Dunn’s lawyers always prepare for “x factors” that inevitably arise in such high-stakes and high-profile matters. We give legal and strategic advice for responding to crises both inside and outside the courtroom, and we have substantial experience operating in the public relations arena — a skill that has become essential to resolving the most serious and fast-moving white-collar legal challenges.

EXPERIENCE & RECENT REPRESENTATIONS

Represented multinational companies and individuals in connection with numerous international cartel investigations and antitrust-related U.S. grand jury investigations, including plea negotiations and/or leniency applications in the United States, the European Union, Canada, the United Kingdom, Australia, Japan, Brazil and other jurisdictions.
Defended U.S. and international companies in a variety of civil antitrust lawsuits, including class actions involving allegations of price fixing and related claims before state and federal courts throughout the United States.
Represented American Airlines and obtained summary judgment in a predatory pricing case brought by the U.S. Department of Justice.
Represented Atlantic Coast Airlines in its federal lawsuit to block a hostile takeover attempt in 2003, leading to a preliminary injunction that preserved Atlantic Coast’s independence.

Representing a prominent hedge fund in the trial defense against an SEC insider trading action.
Defending a former Big Four accounting firm audit partner at a trial involving allegations brought by the SEC Division of Enforcement and Investigations of the U.S. Public Company Accounting Oversight Board (PCAOB).
Defended the former general counsel of a major regional brokerage firm in a three-week securities enforcement trial before the SEC’s chief administrative law judge and obtained dismissal of all claims.
Defended the president of a hardware supply company in a criminal price-fixing case in a three-week trial and obtained acquittal on all counts.
Successfully defended at trial the former general counsel of a broker-dealer charged with failing to supervise a broker, culminating in an acquittal on all charges.
Defended the former head of the fixed income desk at a broker-dealer against fraud charges. Following a two-week evidentiary hearing and post-hearing briefing, the hearing panel cleared our client of all charges.

Handling the appeal of a Silicon Valley corporate lawyer’s jury trial conviction for alleged bribery of a California law enforcement official.
Won a unanimous decision in which the U.S. Supreme Court narrowed the scope of liability under the False Claims Act by adopting a restrictive interpretation of the statute’s intent requirement.
Filed a successful petition for writ of certiorari and merits briefs in the U.S. Supreme Court on behalf of media entrepreneur Conrad Black. The Court unanimously reversed a court of appeals judgment that had upheld Mr. Black’s mail fraud and obstruction convictions.
Successfully appealed to the 11th Circuit, which reversed all convictions on all counts of all four defendants. We thereafter successfully opposed the solicitor general’s petition for U.S. Supreme Court review of the decision.

Represented a Big Four accounting firm in an investigation by the Senate Permanent Subcommittee on Investigations into alleged offshore tax evasion. This investigation culminated in a hearing at which our client successfully defended its actions, resulting in no follow-up by the subcommittee and the avoidance of negative press coverage and reputational damage.
Representing two career colleges being investigated by the Senate Health, Education, Labor and Pensions Committee as well as by the U.S. Government Accountability Office (GAO). This investigation also involves related civil litigation as well as a separate congressional investigation that has looked into the GAO inquiry.
Representing a telecommunications company in multiple congressional investigations relating to the company’s interactions with the Federal Communications Commission.
Representing a major multinational company under investigation by the House Energy and Commerce Committee for alleged abusive labor practices.
Representing a major health insurer before the House Energy and Commerce, House Oversight and Government Reform, and Senate Commerce Committees investigating practices within the health insurance industry. This multifront defense of a series of high-profile investigations required careful coordination of the information and documents provided to different congressional committees.
Represented a major financial services company before the Senate Permanent Subcommittee on Investigations regarding causes of the financial markets crisis. This investigation included a hearing at which seven witnesses from the company testified over a 10-hour period.
Represented a company that holds construction contracts in several war zones in connection with investigation by the Commission on Wartime Contracting in Iraq and Afghanistan regarding Afghanistan reconstruction contracts.

Obtained dismissal of numerous lawsuits brought against the largest securities self-regulatory organization during the course of almost 20 years.
Defended Nursing Personnel, a Brooklyn-based home health aide agency, and its COO against overbilling and other charges by the New York Attorney General. We convinced a state court judge to keep the indictment under seal and developed a compelling argument that the defendants had acted in good faith and in accordance with existing DOH regulations. We also uncovered exculpatory information that the prosecutors failed to disclose, leading to the dismissal of the felony criminal case against the company and the COO.
Represented more than 20 present and former Kmart officers in connection with an SEC investigation and related DOJ investigation of Kmart accounting and disclosure issues.
Successfully represented a major investment bank in an investigation of the arrangement and syndication of commercial real estate loans to lenders. Following presentation of findings to the staff, the regulator closed the investigation.
Successfully represented a major hedge fund in an investigation into potential insider trading in credit default swaps. Following presentation of findings to the staff, the regulator did not pursue the investigation.
Successfully represented the former managing director of a major investment bank in an investigation of proprietary trading of credit derivatives. After receiving a Wells notice, we persuaded the SEC staff not to pursue an enforcement action.
Represented a hedge fund adviser in an investigation of trading in advance of public offerings and compliance with Rule 105.
Successfully represented a Fortune 500 company in an SEC inquiry of accounting issues. Following presentation of information, the staff closed the inquiry.
Acted as lead counsel in the representation of a Japanese manufacturing company in connection with a trade-secrets investigation conducted by DOJ and the FBI, resulting in no charges filed and no actions taken against the clients.
Represented one of the largest publicly traded U.S. proprietary school companies in a federal criminal and SEC investigation across the United States alleging fraudulent student recruitment and financial aid practices. The DOJ declined prosecution and the SEC closed its investigation without action.

Conducting a compliance program effectiveness review on behalf of a Fortune 500 pharmaceutical and medical device company currently under an HHS-OIG Corporate Integrity Agreement.
Advising several major financial institutions on anticorruption policies, including hotline issues, data privacy and surveying of laws in dozens of jurisdictions.
Advised a multinational petroleum companies with respect to numerous transactions and investments involving potential FCPA violations in the former Soviet Union, the Middle East, Southeast Asia, Africa and Latin America.
Provided ongoing advice to a major petrochemical services company on FCPA compliance issues, including specific concerns regarding the use of agents and facilitating payments, as well as the impact of joint venture agreements.
Developed a global FCPA compliance program for a Fortune 200 financial services company with extensive international operations.
Developed a global FCPA compliance program for an international shipping and logistics company with worldwide operations.
Represented the audit committee of a large multinational management consulting firm relating to FCPA exposure arising out of subcontracting practices in China.
Advised a Fortune 50 technology company regarding appropriate FCPA-related internal controls as part of larger Sarbanes-Oxley compliance program.
Provided ongoing advice on FCPA compliance issues involving foreign agents to a Fortune 25 company with extensive international operations.
Advised a large U.S. defense contractor with respect to the voluntary disclosure to the DOJ of a suspected FCPA violation.

Counsel to two companies under an FCPA compliance monitorship: Daimler AG and Innospec, Inc.
Appointed compliance monitors in two U.S. compliance monitorships: DePuy, Inc. and NuLine Pharmaceuticals, Inc.
Appointed independent compliance monitors and independent counsel to the compliance monitor in three FCPA monitorships: Statoil ASA, Siemens AG and Alliance One, Inc.

Represented Facebook in an FTC investigation and enforcement action involving the company’s online privacy practices. The case resulted in a settlement that avoided any monetary penalty. In a recent privacy report, the FTC describes the Facebook investigation as its largest privacy investigation to date.
Represented Sony BMG in a government investigation of allegations that Sony’s software violated California anti-hacking and privacy laws as well as the Unfair Competition Law and the False Advertising Act.
Representing a prominent online company in its interactions with DOJ related to automated attacks on the company’s website, which resulted in the indictment and conviction of the attackers.
Represented a professional services company related to a criminal referral of two former employees who illegally accessed the company’s computer systems and stole trade secrets. As a result of the representation, the U.S. government brought criminal charges against the two former employees.
Represented a leading online retailer in responding to a data breach related to a network intrusion and exfiltration of credit card information; coordinated with law enforcement concerning the security incident.

Defending an international transportation public company in connection with multiple state and federal government investigations relating to an environmental incident.
Representing a developer in an EPA enforcement action, a citizen suit and a criminal investigation alleging violation of Section 404 of the Clean Water Act.
Defending a U.S. retail company against various criminal and civil investigations involving the handling of hazardous materials under the Resource Conservation and Recovery Act and the Clean Water Act.
Represented the board of directors of a multinational oil and gas public company in connection with a DOJ criminal investigation into an environmental incident.
Defended a real estate development firm in a grand jury investigation arising from alleged violations of the Clean Water Act.
Defended a municipality in a federal criminal investigation alleging Clean Water Act violations. No charges were filed.
Represented multiple parties in a variety of enforcement actions under the California Health and Safety Code provisions for the protection of air quality before the South Coast Air Quality Management District and the California Air Resources Board.
Represented multiple parties in a variety of enforcement actions before the U.S. Environmental Protection Agency including alleged violations of the Clean Air Act, the Toxic Substances Control Act and the Resource Conservation and Recovery Act.

Defending a multinational oil exploration company in an investigation by Departments of Commerce and the Treasury into alleged export control violations.
Representing numerous clients before the Office of Foreign Assets Control (OFAC) of the Department of the Treasury to seek resolution of sanctions issues and/or to respond to alleged violations of embargo regulations.
Defended a maritime company in a federal criminal investigation alleging violation of the Act to Prevent Pollution From Ships.
Lead counsel for the Japanese steel industry in a successful effort to have antidumping duties on corrosion-resistant steel, hot-rolled steel and cut-to-length plate revoked by the International Trade Commission.
Served as lead counsel for the U.S. industry producing chlorinated isocyanurates in successfully obtaining an antidumping order on imports from China and Spain.
Represented two Canadian softwood lumber producers in antidumping investigations by the Department of Commerce.

Defending a leading health care services provider in connection with civil and criminal False Claims Act investigations by the U.S. Attorney’s office, HHS-OIG and DOJ.
Defending a Fortune 500 health care services provider in connection with a nationwide U.S. False Claims Act investigation by the DOJ relating to alleged fraud and quality of care issues.
Advising a medical billing company in connection with California state and federal investigations into alleged workers’ compensation fraud.
Advising the San Francisco-based trustee of an employee benefit plan in connection with civil and criminal investigations by the U.S. Attorney’s office and Department of Labor relating to alleged billing fraud and kickbacks.
Conducting various internal investigations on behalf of multinational life sciences public companies in connection with alleged regulatory and compliance code violations.
Conducting a compliance program effectiveness review on behalf of a Fortune 500 pharmaceutical and medical device company currently under an HHS-OIG Corporate Integrity Agreement.

Represented Facebook in an FTC investigation and enforcement action involving the company’s online privacy practices. The case resulted in a settlement that avoided any monetary penalty. In a recent privacy report, the FTC describes the Facebook investigation as its largest privacy investigation to date.
Represented Sony BMG in a government investigation of allegations that Sony’s software violated California anti-hacking and privacy laws as well as the Unfair Competition Law and the False Advertising Act.
Obtained a first-of-its-kind order dismissing the complaint in a consolidated class action alleging that our client surreptitiously tracked Internet users and respawned deleted data in violation of several federal and state laws. The dismissal was the first ruling in an Internet privacy action finding that plaintiffs had failed to allege a cognizable injury. This order followed the court’s preliminary approval of several settlements of plaintiffs’ claims against other defendants in the same cases.
Led the successful efforts of numerous defendants to obtain dismissal of a putative class of all users of apps on iOS devices asserting claims against several different companies, such as our clients Flurry, Inc. and Pinch Media, that provide advertising and analytics services to application developers. Plaintiffs alleged that these defendants collected and disclosed users’ personal information located on their mobile devices without their knowledge or permission.

Representing a defense contractor before the U.S. Air Force Office of Special Investigations, Defense Contract Audit Agency and SEC in connection with Sarbanes-Oxley Act whistleblower claims raised by the contractor’s chief compliance officer.
Representing a defense contractor in a U.S. Procurement Integrity Act investigation involving the Naval Criminal Investigative Service and Naval Acquisition Integrity Office.
Representing a defense contractor in a grand jury investigation arising from allegations of improper political contributions.

Representing a leading financial services firm in connection with criminal federal investigations into the mortgage-backed securities market.
Representing numerous hedge funds in connection with criminal and civil insider trading investigations by various U.S. Attorneys’ offices and SEC regional offices.
Represented a group of independent directors in class action securities lawsuits and related federal grand jury and SEC investigations into the collapse of a publicly traded subprime mortgage company.
Represented a public company in federal grand jury and related SEC investigations alleging wire and securities fraud. No charges were filed.

Representing the former vice chair of a major Swiss bank, as well as a former adviser to the bank, in connection with an investigation by the U.S. Attorney’s Office for the Southern District of New York for tax evasion issues.
Advising multiple financial institutions regarding compliance with and potential exposure arising from the Foreign Account Tax Compliance Act (FATCA) and other U.S. offshore compliance measures.
Representing a Big Four accounting firm in an investigation by the Senate Permanent Subcommittee on Investigations into alleged offshore tax evasion.

White Collar Defense and Investigations

LEADERS

Stephanie Brooker

Joel M. Cohen

Nicola T. Hanna

Chuck Stevens

F. Joseph Warin

Overview

EXPERIENCE & RECENT REPRESENTATIONS

RECENT PUBLICATIONS

2021 Mid-Year Update on Corporate Non-Prosecution Agreements and Deferred Prosecution Agreements

China Constricts Sharing of In-Country Corporate and Personal Data Through New Legislation

F. Joseph Warin Named Among GIR’s Top FCPA Practitioners

Supreme Court Narrows Scope Of Computer Fraud and Abuse Act, Holding It Does Not Prohibit Accessing Otherwise Available Information For An Improper Purpose

International Comparative Legal Guide to: Anti-Money Laundering 2021

Anti-Money Laundering 2021: USA

The Anti-Money Laundering Act of 2020’s Corporate Transparency Act

Gibson Dunn Earns 94 Top-Tier Rankings in Chambers USA 2021

Zainab Ahmad Named Among GIR’s Top Women in Investigations 2021

Gibson Dunn Ranked in Benchmark Litigation Asia-Pacific 2021

Why Corporations Should Rethink How They Evaluate Deferred Prosecution Agreements

Appeals 2021: United Kingdom

11 Gibson Dunn Partners Recognized in Euromoney’s White Collar Crime Expert Guide

COVID relief will spur False Claims Act enforcement

Robert Hur, Former U.S. Attorney for District of Maryland, Joins Gibson Dunn’s D.C. Office

Former Acting Assistant Attorney General David Burns Returns to Gibson Dunn

WirtschaftsWoche Ranks Gibson Dunn as a 2021 Top Law Firm in Compliance

The Case For Diversity In Internal Investigation Teams

A setback for the broadening of insider trading liability

UK Supreme Court Confirms the Limits of the SFO’s Section 2(3) Power

Webcast: White Collar Enforcement Outlook 2021 – Sanctions/Export Controls, AML and Healthcare Fraud

2020 Year-End False Claims Act Update

Five Gibson Dunn Attorneys Named Among Washingtonian Magazine’s 2020 Top Lawyers

What the CFTC’s Settlement with Vitol Inc. Portends about Enforcement Trends

2020 Year-End Update on Corporate Non-Prosecution Agreements and Deferred Prosecution Agreements

2020 Year-End German Law Update

Supreme Court Vacates Second Circuit Ruling Expanding Insider Trading Liability

2020 Year-End FCPA Update

U.S. Attorney Nick Hanna Returns to Gibson Dunn

Financial Policy in the Incoming Biden Administration: What Can We Expect?

The Top 10 Takeaways for Financial Institutions from the Anti-Money Laundering Act of 2020

Chuck Stevens Named Among California’s 2020 Top White Collar Lawyers

Congress Buries Expansion of SEC Disgorgement Authority in Annual Defense Budget

Joel Cohen Named to City & State New York’s 2020 Edition of The Responsible 100

Webcast: International Anti-Money Laundering and Sanctions Enforcement

Who’s Who Legal 2020 Guides Recognizes Six Gibson Dunn Partners

Webcast: Corporate Compliance and Sentencing Guidelines

Gibson Dunn Named 2020 Investigations Firm of the Year

FCA update: Will the Supreme Court address materiality (again)?

Webcast: Managing Internal Audit and Investigations

Webcast: Spoofing: What it is, where it’s going

The UK Serious Fraud Office 2020 Deferred Prosecution Agreement Guidance: Something Old and Something New

Gibson Dunn Ranked No. 1 Among World’s Best Investigations Practices

Webcast: Trends in Government Investigations into Foreign Influence in the Private Sector: A discussion of FARA and related provisions

Benchmark Litigation US 2021 Gives Top Marks to Gibson Dunn

The Constitutional Risks In Pandemic-Era Criminal Jury Trials

New DOJ priority: targeting pandemic stimulus fraud

Webcast: Negotiating Closure of Government Investigations: NPAs, DPAs, and Beyond

Lee Dunst, Mitch Karlan and Richard Parker Named Among National Law Journal’s 2020 Winning Litigators

Gibson Dunn Adds Former SDNY Prosecutor Karin Portlock as Of Counsel in New York

Lee Dunst Appointed to the Federal Bar Council American Inn of Court

INSIGHT: Lessons From a Rare in-Person Courtroom Experience in a Pandemic

2020 Mid-Year False Claims Act Update

2020 Mid-Year FCPA Update

COVID-19 WebTalk: Compliance Investigations

2020 Mid-Year Update on Corporate Non-Prosecution Agreements and Deferred Prosecution Agreements

U.S. DOJ and SEC Issue First Comprehensive Update to FCPA Resource Guide Since 2012

Webcast: Bankruptcy and Financial Distress: Fiduciary Duty and Fraud Considerations for Private Equity Firms

California Supreme Court Holds That District Attorneys May Seek Statewide Civil Penalties and Restitution Under Unfair Competition Law

Best Lawyers in Germany 2021 Recognizes 19 Gibson Dunn Attorneys

Webcast: Preparing For A Surge In Whistleblower Claims: From Developing A Compliance Plan To Best Practices When Investigating And Litigating Claims

DOJ Updates Guidance Regarding Its “Evaluation of Corporate Compliance Programs”

Bankruptcy Fraud Prosecutions May Increase Post-Pandemic

USA: Anti-Money Laundering 2020

The International Reach of the U.S. Money Laundering Statutes

European Commission Launches Major AML Initiative

Benchmark Litigation Asia-Pacific 2020 Names Three Partners Hong Kong Stars

Pandemic May Prompt Legislative Action On Court Deadlines

Criminal Bankruptcy Fraud: Will the COVID-19 Crisis Make It the New Prosecutorial Darling?

Small Business Administration Publishes Additional Interim Final Rules and New Guidance Related to PPP Loan Eligibility and Accessibility