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Compliance, Investigations and White Collar


LeClairRyan’s Compliance, Investigations and White Collar team has deep experience representing and advising companies and individuals facing government investigations, data security incidents, and criminal enforcement actions. As trial lawyers with a proven track record in all facets of criminal matters, we regularly assist clients from investigation to trial.

Our practice is national in reach and includes clients from a variety of industries, including:

• Defense
• Energy
• Financial Services/FinTech/Cryptocurrency
• Healthcare, Pharmaceutical and Biotechnology
• Retail Services
• Software
• Telecommunications
• Political Law/Election Law/Honest Governmental Services

Our team includes:

• Former Assistant United States Attorneys
• Former Public Defenders
• Former Assistant Special Counsel to the United States Senate Select Committee on Ethics
• Former Chief Judge of Navy Reserve Trial Judiciary Activity
• A former Privacy Officer and Deputy Information Security Officer at a Federal Reserve Bank

We also have attorneys with significant in-house experience, including at the fourth largest financial institution in the world, a Fortune 200 consumer packaged goods company and a large broker-dealer.

Trusted Representation Before Government Agencies

Our team defends corporations and individuals under investigation in a wide spectrum
of government enforcement actions, including:

• U.S. Department of Justice, U.S. Attorney’s Offices, Attorneys General’s Offices, and District Attorneys’ Offices
• U.S. Securities and Exchange Commission
• Commodity Futures Trading Commission
• Federal Trade Commission
• Financial Industry Regulatory Authority
• Federal Deposit Insurance Corporation
• Financial Crimes Enforcement Network
• Office of Foreign Assets Control
• State Attorneys General


Our team has extensive experience working cases through trial, and has litigated matters in federal and state courts across the country. We have a particularly deep background in handling matters in the U.S. District Court for the Eastern District of Virginia, also known as “The Rocket Docket,” which is one of the busiest courts in the country.

Internal Investigations

Our team is frequently retained by audit committees, special committees and general counsels to conduct internal investigations covering a variety of topics, including alleged healthcare fraud, financial services regulatory compliance, data breaches, ransomware attacks, insider crimes (embezzlement, fraud, data theft), counter-intelligence investigations, economic espionage (criminal theft of trade secrets), and Foreign Corrupt Practices Act (FCPA) investigations.

Our team of investigatory counsel has led complex and sensitive investigations for Fortune 50 companies both in the United States and abroad. We work closely with management (or Boards) to properly identify, scope, and execute investigations that provide clear, factual insight into what occurred while minimizing business interruptions. We also conduct investigations with a clear sense of the complete investigatory life cycle, and provide our clients with insight into follow-on legal, regulatory, compliance, and reputational risks.

Corporate Compliance

LeClairRyan attorneys routinely advise companies regarding the design, implementation and testing of compliance programs and strategies. Our attorneys have drafted and reviewed corporate ethics and compliance programs and counseled clients on compliance with respect to a variety of laws and regulations, including:

• FCPA
• Anti-Money Laundering and Bank Secrecy Act
• False Claims Act
• Sarbanes-Oxley
• Dodd-Frank
• Gramm-Leach-Bliley’s Privacy Requirements
• Section 5 of the FTC Act
• Computer Fraud and Abuse Act
• Electronic Communications Privacy Act
• Foreign Intelligence Surveillance Act Issues
• Federal Acquisition Regulations
• Healthcare fraud and abuse statutes
• Labor regulations
• State and federal privacy, data protection, consumer protection and antitrust laws


Representative Matters:


  • Financial services representation
    • Represented controller of publicly traded technology company involving material financial misstatements and restatements of quarterly and annual reports in federal court and before U.S. Securities and Exchange Commission
    • Represented administrator of $250 million offshore hedge fund that was an affinity scheme targeting faith-based investors in criminal and U.S. Securities and Exchange Commission fraud action 
    • Successfully defended high-visibility investment advisor and the advisor’s senior management in multi-year, non-public SEC investigation
    • Represented commodities trader in criminal and civil actions regarding alleged manipulation of propane market. Charges dismissed prior to trial and dismissal affirmed by appellate court. 
    • Investigated claims by chief financial officer of publicly traded Hong Kong entity alleging financial misstatements
    • Represented CEO of public company in non-public SEC investigation in which no proceedings were instituted
    • Represented former investment bank CEO in high-profile criminal and U.S. Securities and Exchange Commission insider trading action. Conviction reversed by Second Circuit Court of Appeals based on improper expansion of conspiracy law.
    • Obtained from U.S. Securities and Exchange Commission favorable civil resolution of securities fraud claims arising out of nationwide trading practices relating to demutualization of savings institutions
    • Represented overseas contractor in non-public government investigation involving FCPA and other issues
    • Represented large broker-dealer and its chief compliance officers in two-week FINRA enforcement hearing pertaining to variable annuity sales practices and allegations of destruction of documents
    • Represented founder and chief operations officer of publicly traded technology company concerning allegations of inflated revenue projections
    • Represented president of multimillion-dollar “boiler room” accused of manipulating various stocks in criminal and U.S. Securities and Exchange Commission fraud action
    • Represented investment banker in U.S. Department of Justice and U.S. Securities and Exchange Commission insider trading investigations involving PIPE transactions
    • Defended affiliates of publicly traded companies on Sarbanes-Oxley claims asserting financial misstatements and omission of material facts on annual and quarterly reports to shareholders
  • Healthcare representation
    • Represented healthcare providers before U.S. Department of Justice, Office of the Inspector General and Centers for Medicare and Medicaid Services on self-disclosures of potential violations of fraud and abuse laws
    • Represented licensed behavioral health provider targeted by Attorney General's Office Medicaid Fraud Control Unit resulting in no charges being filed despite the owners of the healthcare entity at which the provider worked pleading guilty to certain fraud counts
    • Conducted internal investigation of potential healthcare fraud on behalf of hospitals, ambulance companies and other healthcare providers
    • Represented dermatologist alleged to have defrauded Medicare/Medicaid and demonstrated that claims for services were appropriate, documented and within the law and applicable regulations, resulting in no charges against physician
    • Testified as expert witness on behalf of a clinical diagnostic laboratory in trial related to alleged Anti-Kickback Statute and Stark Law violations
    • Represented durable medical equipment supplier accused of fraud by former corporate officer. Successfully defended client against allegations, provided advice and counsel regarding applicable regulations, collaborated with client's compliance officer to develop records and documents demonstrating compliance, and helped company improve overall compliance program following resolution of complaint.
    • Represented healthcare providers facing exclusion from participation in federal healthcare programs
    • Defended owner of medical billing company against claims brought by U.S. Department of Justice under False Claims Act. The government demanded repayment of millions of dollars of Medicare claims that were allegedly doubled billed or improperly coded under Medicare billing rules. Negotiated settlement of claim for small percentage of original demand and negotiated resolution involving sale of billing company to avoid further audits and ongoing oversight by U.S. Department of Health and Human Services.
    • Lobbied federal congressional staff regarding proposed changes to healthcare fraud legislation
  • Corporate representation
    • Represented several Fortune 100 companies in responding to federal and state grand jury subpoenas in federal agency investigations
    • Successfully defended Cardinal Bankshares Corp. in landmark case against alleged violation of employee protection provision of Sarbanes-Oxley Act before U.S. Department of Labor 
    • Represented prominent government contractor in U.S. Department of Justice False Claims Act and debarment investigation alleging violations of the HUBZone and 8(a) set aside programs
    • Defended affiliates of publicly traded companies on Sarbanes-Oxley claims asserting financial misstatements and omission of material facts on annual and quarterly reports to shareholders  
    • Represented and defended management in numerous qui tam matters and led investigations and settlement negotiations with various U.S. attorneys 
    • Represented international consumer products company in U.S. Department of Justice criminal environmental action alleging unlawful disposal of chemical waste
    • Designed and implemented comprehensive FCPA compliance programs to prevent and detect potential corruption risks for various companies
    • Represented bank as an entity, conducting internal investigation and working closely with FBI to determine the identity (and lack of controls) behind passing of fraudulent $300,000 check
  • Individual representation
    • Represented Social Security Administration Administrative Law Judge (ALJ) before House Committee on Oversight and Government Reform regarding ALJ decision practices
    • Defended dozens of professionals, including physicians, securities broker-dealers, banking officials, real estate professionals and governmental officials in federal and state investigations, grand jury proceedings and criminal prosecutions 
    • Won reversal of public record forgery felony conviction of sitting state court judge 
    • Represented prominent lobbyist in public corruption case alleging wire fraud 
    • Secured dismissal at conclusion of government’s evidence of 31-count bank fraud case against bank president and sitting state senator and largest award in history of attorneys’ fees against the United States for vexatious prosecution
    • Investigated claims by chief financial officer of publicly traded Hong Kong entity alleging financial misstatements
    • Represented controller of publicly traded technology company involving material financial misstatements and restatements of quarterly and annual reports in federal court and before Securities Exchange Commission
    • Represented founder and chief operations officer of publicly traded technology company concerning allegations of inflated revenue projections
    • Represented and defended management in numerous qui tam matters and led investigations and settlement negotiations with various U.S. attorneys 
    • Represented well-known immigration attorney charged with filing hundreds of false asylum petitions in immigration fraud case 
    • Represented local pharmacist charged with misbranding and selling drug samples in criminal and U.S. Food and Drug Administration regulatory case
    • Successfully represented company executive in one of the first cases pursued by federal and New Jersey state government for “stimulus fraud,” alleging that client – after performing rolling layoffs but permitting laid-off workers to volunteer to work if they so wished – used unemployment benefits as pay for employees