White Collar Crime Engagements

• Represented former CEO and executive vice president of a four billion-dollar technology company in federal and state derivative actions alleging stock options backdating.

• Represented a former CEO of a two billion-dollar software company in SEC enforcement action alleging accounting improprieties.

• Securities Fraud

  • Currently representing targets and witnesses in various securities fraud investigations directed by SEC and U.S. Attorneys’ Offices in San Francisco, Los Angeles, Seattle, and Washington D.C.
  • Tried complex criminal securities fraud cases to jury verdicts in U.S. District Court for the Northern District of California.
  • Successfully resolved federal criminal and SEC cases alleging revenue recognition fraud against former vice president of international sales of a publicly traded company.
  • Resolution of federal criminal insider-trading cases against high-tech engineer and attorney including successful motions for downward departure at sentencing and probation in both cases.
  • Successfully defended former CFO in SEC investigation of revenue recognition and accounting fraud.   No enforcement proceedings were filed.
  • Successfully represented controller of publicly traded company in parallel civil actions and  SEC/DOJ investigations arising from securities fraud actions stemming from merger of pharmaceutical companies.
  • Successfully represented general counsel of public company in SEC investigation of possible SOX “reporting up” violation.

  Medicare Fraud

  • Currently representing hospital employees in an ongoing federal grand jury investigation of Medicare fraud.
  • Successfully represented county health care executive in Medicare fraud investigation by DOJ, the FBI, and the HHS Office of Inspector General. No criminal charges were filed.

  Environmental Actions

  • Successfully negotiated declination of prosecution, resolving criminal investigation of contractor for alleged hazardous waste and air emissions violations.
  • Obtained civil resolution and dismissal of criminal charges against trucking company charged with hazardous waste violations under the California Corporate Criminal Liability Act.
  • Resolved parallel criminal and administrative enforcement actions against manufacturer for alleged violations of federal fungicide and chemical reporting, registration and labeling requirements.
  • Obtained civil resolution of criminal investigation of contractor for alleged Fish & Game and Water Code violations for discharge to creek.
  • Resolved criminal investigation of company president and environmental manager for alleged Clean Air Act violations in demolition project.
  • Successfully negotiated resolution of criminal investigation of corporation and manager for alleged Fish & Game and Water Code violations in application of agricultural pesticide.

  Other Actions

  • Currently representing target of federal criminal investigation of trade secret theft.
  • Currently representing target of federal criminal investigation of alleged bribery of public officials.
  • Successfully represented individual employee in a federal criminal investigation of defense contractor fraud. No charges were filed.
  • Successful resolution of criminal antitrust case against a local businessman filed by DOJ/Antitrust, including probation.