Prominent White Collar Crime Cases
My primary objective is to resolve federal white collar crime investigations as efficiently and painlessly as possible. While every white collar case is different, I have often kept my clients from ever facing federal charges. Here are some of my recent successes, in white collar and other matters:
White Collar Defense
Federal Wire And Insurance Fraud: Charges Dismissed
A Florida insurance executive was indicted on federal wire and insurance fraud charges in the U.S. District Court for the Northern District of Florida. I was hired after the indictment was returned. The government dismissed all charges two weeks before trial in the interests of justice.
Securities Fraud: Charges Dismissed
An auto industry corporate vice-president was indicted for securities fraud in the U.S. District Court for the Southern District of New York. After two years of discovery and motions work, the government dismissed all charges in the interests of justice.
White Collar Case: Reduced Sentence
A North Carolina attorney hired me to represent him at sentencing in a white collar matter. His recommended Sentencing Guidelines range was 108-135 months. I argued for a downward variance. After an all-day hearing, the variance was granted and the client was sentenced to probation with six months house arrest.
Honest Services Fraud: No Charges
A thoroughbred industry entrepreneur was named as a target in a federal honest services fraud investigation. The investigation was ultimately closed with no charges being filed.
Aggravated Identity Theft and False Statements: Reduced Charges
A California businessman was indicted on two federal felony counts charging Aggravated Identity Theft and False Statements to SEC Officials. I was hired after the indictment was returned. I negotiated a misdemeanor plea agreement and both felony counts were dismissed. The client was sentenced to three years probation.
Corruption Charges: Immunity Agreement
A corporation’s president was investigated and questioned as part of a major federal white collar investigation into corruption among securities class action law firms. I negotiated an immunity agreement. No charges were filed against my client.
Arms Export Control Act: No Charges
Corporate executives and employees were questioned by FBI special agents, a federal prosecutor, and a federal grand jury regarding alleged violations of the Arms Export Control Act. No charges were filed.
FDA Fraud: No Charges
A foreign corporation’s U.S. subsidiary and two of the parent company’s officers were indicted for fraud against the FDA. I was hired after the indictment was returned. I convinced the prosecutor to dismiss all charges against the officers with prejudice. The parent company pled guilty to one felony count, received probation and paid a fine.
Congressional Corruption Probe: No Charges
Several of my clients (witnesses and subjects) were questioned in a high-profile FBI investigation into Congressional corruption related to the Jack Abramoff investigation. No charges were filed.
Federal Bank Fraud: Reduced Charges
A senior bank official in Connecticut was named as a felony target in a federal bank fraud investigation. I negotiated a misdemeanor plea and the client was sentenced to three years probation.
Harboring An Alien: Conviction Reversed
The United States Court of Appeals for the 3rd Circuit reversed a public official’s conviction for harboring an alien. I wrote the appellate brief and argued the appeal.
Perjury And False Claims: Charges Dismissed
A client was indicted in U.S. District Court for the Eastern District of Virginia for perjury and filing false claims. The government dismissed all charges on the eve of trial.
Mortgage Fraud: No Charges
An Illinois businessman was investigated for mortgage fraud. No charges were filed.
Bust-Out Scheme: No Charges
A Texas attorney was investigated for alleged participation in a bust-out scheme. No charges were filed.
Securities Fraud: No-Fault Civil Settlement
The president of a Texas corporation was charged with securities fraud in a complaint filed by the SEC. I negotiated a no-fault civil settlement.
Hobbs Act Violations: Felony Charges Dismissed
A Delaware federal grand jury indicted an elected official on multiple Hobbs Act felony counts, which could have resulted in several years of federal prison time. The government offered a misdemeanor tax plea 10 days before trial. The client pled guilty to the tax misdemeanor, and the court sentenced him to three years probation. The government dismissed all felony charges.
Bank Fraud: Negotiated Probation
A Pennsylvania businessman was charged with bank fraud in a multi-count indictment alleging over $500,000 in losses. The client hired me after the indictment was returned. I negotiated a plea agreement and the client received felony probation following a hotly contested sentencing hearing.
The U.S. Court of Appeals for the 5th Circuit vacated the conviction of a Texas man and entered a judgment of acquittal. I argued the case.
Insurance Fraud: Reduced Sentence
A San Antonio businessman was convicted of insurance fraud. I was hired after the conviction to represent the defendant at sentencing. The client’s recommended Sentencing Guideline Range was 46-57 months and the government sought an upward departure to 71 months. In an all-day sentencing hearing, my co-counsel and I successfully argued for a downward variance. The client was sentenced to 15 months.
Presidential Pardon Investigation: No Charges
A prominent foreign national was questioned by a federal grand jury as part of the “Pardongate” investigation into President Clinton’s last-minute pardon of financier Marc Rich. No charges were filed.
Civil Contempt: Order Lifted
A corporation president was held in civil contempt (and briefly jailed) by a federal court for failing to pay a judgment in an SEC enforcement action. I eventually convinced the court to lift the contempt order.
Securities Fraud: No Criminal Charges
A broker was accused of fraud by the SEC in connection with a major day-trading investigation. The broker entered into a civil settlement agreement with the SEC. No criminal charges were filed.
Mail Fraud: No Charges
A prominent businessman was investigated for alleged federal mail fraud in connection with municipal zoning issues. No charges were filed.
Espionage, False Statements, Unlawful Transport Of Firearms: No Charges
A federal law enforcement official was investigated for alleged espionage, false statements and unlawful transport of firearms. I met with the assistant United States attorney in charge of the case and persuaded him not to file charges.
Foreign Corrupt Practices Act: No Charges
A contractor to a foreign government was named as a felony target in a Foreign Corrupt Practices Act investigation. I met with the government. No charges were filed.
Contracting Fraud: Negotiated Probation
The former employee of a federal contractor was named a felony target in a federal contracting fraud investigation in Connecticut. I negotiated a misdemeanor plea. The client was sentenced to three years of probation.
White Collar Prosecution
As previously noted, I also spent many years as a federal white collar prosecutor. During my government service, I tried numerous federal felony cases to juries, obtaining convictions in over 90 percent of them. I also personally directed approximately 75-100 white collar investigations. Among the many major cases I handled as a prosecutor are the following:
President Bill Clinton: Grand Jury Questioning
The grand jury questioning of President Bill Clinton, as well as Vernon Jordan, George Stephanopoulos, Erskine Bowles, Harold Ickes, Leon Panetta, Sidney Blumenthal, Linda Tripp, Monica Lewinsky and others in the Lewinsky investigation.
Victoria Savings Association: Nine Convictions
The two-year Victoria Savings Association investigation (including a two-month jury trial) resulting in the conviction of nine defendants. As a result of his work on this “Top 100” savings & loan fraud case, I received the prestigious Director’s Award from Attorney General Janet Reno, an award given annually to the top one percent of federal prosecutors.
Securities Fraud: All Defendants Convicted
A three-month securities fraud jury trial against a major financial services corporation and three of its top officers. All defendants were convicted.
Savings And Loan: All Defendants Convicted
A two-month savings and loan jury trial against eleven defendants that resulted in the conviction of all defendants.
Military Contractor Fraud: All Defendants Convicted
A one-year investigation (including a jury trial) relating to military contractor fraud at Kelly Air Force Base. All defendants were convicted and the matter was listed by the U.S. Air Force as one of its “most significant cases” of the year.