White Collar Defense & Corporate Compliance

Allegations of wrongdoing can distract a company and its executives from its business, or even imperil its continued existence. We assist companies to establish policies and codes of ethics and conduct that facilitate compliance with the law and other applicable regulations. When allegations arise—from a call to a hotline, from a visit by law enforcement agents, or otherwise—we conduct thorough and effective internal investigations to help companies police themselves and their employees. And when a company or individual becomes the target of federal or state investigators or prosecutors, we aggressively protect our clients’ rights and defend them in court. We also represent companies and individuals in administrative and civil enforcement proceedings such as those brought by state Attorneys General, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the Federal Trade Commission and other government agencies.

Our White Collar Defense and Corporate Compliance services include:

  • Assisting companies in developing and applying robust and effective compliance policies, including assisting federal contractors and subcontractors put in place a Code of Business Ethics, conduct periodic reviews of their business practices, procedures, policies and internal controls, as required by the Federal Acquisition Regulations.
  • Responding to reports suggesting its employees may have engaged in illegal conduct—whether the result of a call to an Ethics Hotline or a directive from the Board of Directors’ Audit Committee or Corporate Governance Committee—by conducting a thorough and impartial investigation to determine the facts while protecting the investigation from third parties.
  • Assisting companies and individuals that receive requests for information from a government agency—whether via subpoena or other formal demand, or phone call from a law enforcement agent or inspector general’s office—and insuring the company or individual complies with applicable obligations while helping managers and employees understand the risks associated with responding to such requests and protecting against the risk of civil or criminal liability.
  • Protecting the rights of companies or individuals who are targeted by federal or state investigators, or who are contacted during the course of such an investigation.
  • Representing companies or individuals who must defend themselves in administrative or regulatory proceedings or in civil enforcement matters brought by government agencies such as the Securities and Exchange Commission, the Commodities Futures Trading Commission, and the Federal Trade Commission.
  • Aggressively defending companies and individuals who face criminal charges in federal or state court.

REPRESENTATIVE MATTERS

DISCLAIMER: CASE RESULTS DEPEND ON A VARIETY OF FACTORS UNIQUE TO EACH CASE AND DO NOT GUARANTEE OR PREDICT A SIMILAR RESULT IN ANY FUTURE CASE UNDERTAKEN BY BERENZWEIG LEONARD.

  • The complete dismissal of export control charges brought by the US Attorney’s Office in Washington, DC against a South Korean exporter, including a landmark ruling on the seizure of a laptop at customs.
  • Successful defense of an international consulting firm suspected of violating the Foreign Corrupt Practices Act in connection with a contract in Dubai; the representation concluded with no charges being filed against the consulting firm.
  • Defense of a former employee of the Blackwater consulting firm for alleged export control violations arising out of training provided to foreign soldiers deployed in Iraq; the representation concluded with no charges being filed against the client.
  • Successful representation of a client indicted in New York state court with enterprise corruption, a class B felony; the case was resolved with a plea to a class B misdemeanor – the lowest level criminal offense in the New York state code.
  • Trial victory over the SEC in the defense of a prominent financial broker in which the jury in federal court in New York found in favor of the client on all fraud charges.
  • Prevailed in a sentencing hearing in federal court in Alexandria, Virginia, in which prosecutors sought to prove the client participated in a massive tax conspiracy; the court found there was no such evidence to support the government’s position and sentenced the defendant to probation, describing him as “a treasure.”