Archer’s White Collar Defense and Corporate Compliance Practice Group represents corporations, their officers and directors, as well as other highly placed or high-profile individuals in complex criminal cases, civil fraud cases, regulatory enforcement matters and internal investigations, and at every stage of the enforcement process. The attorneys in our White Collar Defense Group also have substantial experience investigating, analyzing and recommending courses of action for public agencies and governmental entities facing challenging issues which require independent analysis and evaluation to ensure that the public trust is preserved.
In government-facing matters, experience in prosecution is crucial. Members of our White Collar Defense Group have served in high-level positions within the government, including as long-term, skilled former prosecutors, accustomed to working on these types of issues. As a result, we have considerable experience in designing and implementing strategies to avert criminal charges.
At all times, our attorneys are acutely aware that our clients’ reputation and, where applicable, their interactions with their shareholders, regulators, and with the press, is crucial to their ability to remain profitable and to continue in their businesses. Ever mindful of this, we strive to minimize potentially negative public relations through swift action and strategy. However, where a trial is required to meet the needs of a client, our lawyers have a proven track record of success and strive to achieve the best possible results, consistent with our clients’ needs.
Our experience in corporate investigations, government enforcement and white collar defense is wide-ranging and diverse. We have represented clients before all of the major investigative agencies, governmental security groups, federal, state and local watchdog agencies and others.
Drawing on our reputations as experienced trial lawyers, our attorneys handle cases in matters involving, among others:
OFAC ̶ Matters related to the Office of Foreign Assets Control (OFAC), which tend to be complex and require immediate and then long-term assistance. Consequences of allegations of OFAC violations or sanctions may result in serious penalties such as fines and the freezing of assets. Our attorneys can provide the following assistance:
- Defense of U.S. and international clients undergoing OFAC investigations
- Negotiating Removal of Specially Designated National (SDN) designations
- Developing OFAC compliance programs for international businesses
- Export control counseling under the Trade Sanctions Reform and Export Enhancement Act
- Assistance in obtaining OFAC licensing for proper transfer of funds for representation, temporary continuation of remainder of business interests or wind down during OFAC sanction period
U.S. sanctions regulations administered by the Office of Foreign Assets Control present a unique set of challenges to U.S. and foreign companies that transact in high-risk areas. To address potential sanctions issues, we regularly advise clients on effective compliance measures that can be developed and implemented depending on the type of business, industry and market in which a company is involved.
FINRA ̶ Our services include investor arbitration claims involving brokers and investors, defending brokers against regulatory inquiries by FINRA Enforcement, and representing individual brokers in employment and promissory note arbitrations against large securities brokerage firms. FINRA arbitration has its own unique procedures, including a Code of Arbitration Procedure for both investment disputes and employment disputes, which are not applicable to Courts. We represent both investors and brokers before FINRA Arbitrators and are experienced with the forum, the arbitrators, the procedural rules, and how to properly prosecute a case on behalf of an investor or defend a broker.
Bank Secrecy Act and Anti-Money Laundering ̶ Our attorneys represent financial services companies and other businesses in internal investigations and enforcement actions by the Department of Justice (DOJ), state prosecution authorities, the Financial Crimes Enforcement Network (FinCEN), the Securities and Exchange Commission (SEC), the Office of Foreign Assets Control (OFAC), and federal and state bank and non-bank regulatory authorities.
Our AML advice includes compliance program design, maintenance and testing. We advise on all aspects of the Bank Secrecy Act (BSA) and OFAC compliance. We defend companies and individuals in regulatory examinations and enforcement investigations and litigation.
Antitrust Issues ̶ Our attorneys are experienced in multi-district, federal and state antitrust litigation, and in governmental investigations. We defend clients in antitrust inquiries and disputes and resolve high-stakes complex litigation. Our areas of representation include:
- Antitrust Disputes and Litigation – Our lawyers represent clients in courtrooms and before government agencies. We defend clients in disputes alleging anticompetitive conduct and we defend their rights against the unfair conduct of others.
- Government investigations -Federal and state antitrust laws give antitrust regulators the power to investigate companies and individuals regarding alleged anticompetitive conduct and merger and acquisition transactions. If clients receive civil investigative demands, subpoenas or information requests, we work with them to craft a proper response.
- Antitrust Counseling and Compliance and Training Programs – By thoroughly understanding our clients’ businesses, we work to identify and help prevent actions that could raise competitive issues. We form strategies that develop into the context of everyday business decisions, market issues and regulatory frameworks. Issues we regularly address include contractual, pricing and distribution concerns, and interactions with customers, suppliers and competitors.
Consumer Fraud ̶ The practices and policies of consumer companies are under constant scrutiny from the Federal Trade Commission (FTC). Our Group represents clients in proceedings that include FTC and state attorney general investigations and enforcement actions. Some of the areas in which we protect and defend companies and individuals include, but are not limited to, data security and identity theft, privacy, franchise and business opportunities, industry-specific advertising and consumer regulations, labeling, consumer credit, debt collection, and pricing.
False Claims Act, qui tam litigation ̶ The False Claims Act (FCA) is the primary vehicle used by the U.S. Department of Justice (DOJ) to confront persons or companies who defraud governmental programs. False Claims Act enforcement poses a significant and growing threat to corporations and institutions, with billions of dollars at stake. Whistleblowers and the U.S. Department of Justice (DOJ) use the Act aggressively, seeking to extract multiple damages and civil penalties.
Archer attorneys help clients prevent FCA violations, avoid prosecution, and reduce fines and penalties should they arise. Our team consists of highly experienced attorneys who have spent years defending federal and state FCA prosecutions, dealing with whistleblowers, and counseling companies on compliance. Our attorneys have significant government experience and first-hand knowledge of how federal and state enforcement agencies make enforcement decisions. We understand the complexities of the government’s approach to False Claims Act matters and offer our clients creative and practical approaches to managing the challenges presented. Deploying resources across practices, we effectively respond to investigations and successfully litigate actions pursued by whistleblowers or the government. We have achieved favorable resolutions of False Claims Act cases by effectively responding to government investigations, challenging whether government intervention is warranted at all and defending companies when the government intervenes qui tam actions.
Foreign Corrupt Practices Act ̶ Archer lawyers advise on all aspects of the Foreign Corrupt Practices Act (FCPA) and anti-corruption law. Whether our clients are building or testing compliance programs, or involved in criminal or civil FCPA enforcement, we help them determine the most cost-effective, risk-based response to any anti-corruption scenario. Our attorneys represent companies and individuals in all aspects of anti-corruption matters, including internal investigations and the defense of government investigations, enforcement actions, and criminal and civil proceedings.
We pride ourselves on understanding the details of our clients’ businesses, and in bringing sound and practical advice to any counseling circumstance. We know anti-corruption doctrine and best practices, and work with our clients to ensure that these principles remain intact while still getting business done. We immediately understand how to evaluate corruption risks and compliance solutions. Moreover, our enforcement work guides our counseling so that new trends and risks are identified and mitigated.
Securities Enforcement and Compliance ̶ Our attorneys represent brokers in regulatory inquiries. Types of representation includes subpoena compliance, OTR or “on the record” depositions, responding to Wells Notices from FINRA, and correcting U5 filings or Broker Check entries containing false information.
Civil and Criminal RICO Allegations – The Federal Racketeering Statute (RICO) is a complex statute which requires extensive experience to properly and successfully utilize as a litigation tool. Archer litigators are experienced in representing clients in state and federal RICO litigation. Our practitioners represent clients in state and federal courts, representing both plaintiffs and defendants in RICO cases. The firm has represented clients in obtaining early resolution of RICO claims, and also in taking cases to trial when it becomes necessary. We will work with you to determine whether you have a meritorious defense to a federal criminal RICO indictment or civil RICO claim, as well as determine whether your facts would support a civil RICO claim.
Sarbanes Oxley ̶ We advise corporate clients and individuals regarding compliance with SOX rules, and we conduct investigations that disclose potential violations. Often, individuals who have been subpoenaed or may be targets of SEC investigations have sought our counsel for preparation and accompaniment before the SEC.
Stark Act ̶ The Stark Law and its implementing regulations are among the most complex rules governing health care providers today. Stark is frequently a top concern in due diligence, demanding timely and accurate advice. Whether navigating the Stark exceptions in framing a deal, reviewing a past or existing arrangement for compliance, or responding to government or whistleblower complaints, our team has the knowledge and expertise to resolve your Stark concerns.
We provide advice and opinions necessary for the formation of physician joint ventures, service arrangements, equipment and space leases, physician compensation plans, provider components within academic medical centers, hospital investments, and the provision of EHR items and services. Our approach is to find compliant, practical solutions rather than raising obstacles to clients’ legitimate objectives. When Stark issues are discovered on the back end and providers risk recoupment of payments, False Claims Act liability or worse, our lawyers can provide the skilled investigation resources, seasoned advice and proven litigation skills needed to resolve the issue.
Corporate Compliance and Internal Investigations
Corporations operate under intense regulatory and law enforcement scrutiny. If a company is found to be noncompliant with laws or regulations, the fines, penalties and restitution can be staggering. What’s more, the intangible costs of being the subject of a government inquiry — including the possible loss of investor confidence — can add to the damaging consequences.
Our attorneys work with you to prevent costly compliance problems before they happen and to implement sound corporate governance practices. By designing comprehensive programs to deter wrongdoing and detect it early on, we can help you take the appropriate steps to minimize potential damage. We stay on top of industry regulatory requirements and can incorporate changes into your corporate governance and compliance policies and practices.
When enforcement actions do occur, we offer a steady, experienced hand to lead internal investigations and manage the response to governmental inquiries, thus minimizing the risks of criminal or civil exposure. We are well positioned to take on any federal, state or municipal allegation.
Many cases involve simultaneous criminal, civil and regulatory actions arising out of the same events. To handle them, Archer’s White Collar Defense Group draws on the full range of our deep legal expertise, 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:
- Public Finance
- Banking Law and Finance
- Environmental, Land Use and Real Estate
- Healthcare
- Labor and Employment
- Tax
- Government Affairs
- Intellectual Property
- Insurance
- Municipal Law
- Bankruptcy
- Data Privacy and Cybersecurity
- Immigration and Homeland Security
- International Law
For more information on Archer’s White Collar Defense and Corporate Compliance services, please contact Jeffrey M. Kolansky at jkolansky@archerlaw.com or 215-963-3300, or Vincent P. Sarubbi at vsarubbi@archerlaw.com or 856-616-2606.
