Experience
Insurance and Pharmaceutical Benefits Aggregator and Union Employer
Counsel to company president and union employer in formal disciplinary proceedings regarding union contracts and health insurance. Represented company president and employee witnesses in adversarial hearing. Prevailed before a decision-making panel that cleared client of wrongdoing in post-hearing decision. Ultimately negotiated settlement favorable for client and company.
Kick-Back Investigation
Successfully represented health care providers in connection with a California Attorney General’s Office investigation related to the providers’ participation in a pharmaceutical company’s speaker’s program while they also prescribed its medications.
United States v. United Microelectronics Corp. (UMC)
Representing an indicted individual in this high-profile trade-secrets-theft case involving alleged trade secrets misappropriated from Micron Technology, Inc. This is the first case brought under the Department of Justice’s “China Initiative” announced in November 2018, and involves cutting-edge jurisdictional issues. No trial date has been set. U.S. District Court for the Northern District of California (San Francisco Division) Case No. 3:18-cr-00465 MMC
Yahoo Cyber Breach Investigation
Representing several key executives and numerous employees in the Yahoo Cyber Breach investigation (client identities confidential) and follow-on regulatory and criminal investigations. This investigation involves possibly the most significant data breach in history. In addition to a recently concluded internal investigation by a special committee of Yahoo’s Board, Yahoo and its individuals are under investigation by the SEC, DOJ, and FTC, and are subject to dozens of civil lawsuits, as a result of allegations that some employees at the company knew about the data breach in 2014 and failed to escalate that information appropriately. As lead counsel for the Yahoo individuals in this high profile white collar matter, the Farella team is addressing some of the most complex and evolving white collar defense issues of the present day.
Wells Fargo Bank
Serve as counsel for eighteen Wells Fargo current and former employees ranging from senior executives to a member of the Wells Fargo litigation department to private financial advisers in internal (Audit Committee) and multiple federal government (DOJ, SEC, OCC, and state attorneys general) investigations and civil suits regarding allegations of improper retail and wealth management sales practices and improper consumer lending practices.
Fintech Executive
Represented a senior financial services executive in internal and Securities and Exchange Commission investigations of financial technology company.
California Cleantech Start-up Whistleblower Investigation
Represented committee of the Board of Directors of non-public clean energy start-up in surgical-scope investigation regarding whistleblower allegations of potential False Claims Act and various other violations. Acquired an in-depth understanding of technical representations made by various executives in order to evaluate weight of whistleblower allegations. Conducted narrow scope of interviews of executives and board members and reviewed focused set of e-mail communications.
Controlled Substances Investigation
Represented current CFO of a publicly traded company in connection with internal disputes and issues with regard to public filings and SEC inquiries.
Corporate Governance and Board Advising for GC of Large-Scale Exempt Organization
Provided highly confidential advice and counseling on corporate governance and board relations matters to general counsel of large tax exempt organization.
Former Senior Executive of U.S. Pharmaceutical Company
Represented a former senior executive of a cutting-edge drug and biotechnology company in off-label marketing investigations by the Food and Drug Administration (FDA) and United States Attorneys’ Office.
International Antitrust Price Fixing Representations
Represented Korean, Japanese, and United States targets in twelve separate federal U.S. DOJ antitrust price-fixing investigations (and parallel civil cases) in the DRAM, SRAM, airline, air cargo, LCD, wire harness, CRT, ODD and auto parts industries.
Pet Food Manufacturing Executive
Represented an executive in a federal criminal investigation in the Midwest regarding allegations of tainted, mislabeled pet food ingredients being sold into the manufacturing process. Matter involves some of the largest pet food companies in the U.S. and has industry-altering implications.
Public Company Board Members
Represented two board members of a publicly traded bio-tech company throughout internal, Securities and Exchange Commission, and Department of Justice investigations.
Publicly Traded Pharma Company Investigation
On behalf of the Audit Committee, we conducted an internal investigation for a local, public pharma company into expense-charge irregularities involving senior executives, which included advice on remedial measures to improve internal procedures and controls around expenses.
Registered Mid-Size Investment Advisor
Conducted an internal investigation for a local Investment Advising company into hacking incident which caused nearly a million dollars in loss for a sizable client of the advisory. Investigation dealt with company controls and procedures for managing funds and for handling cybersecurity issues
U.S. v. Hogan
Represented former eBay affiliate marketer accused of defrauding eBay of more than thirty million dollars. Sentenced to five months custody at Taft prison camp and restitution. USA v. Hogan, Northern District of California, 5:10-cr-00495-EJD
United States v. Mogal, Zhang, et al.
This trade-secret-theft case was indicted in June 2018 against five former and one current Fitbit employees alleging that each defendant unlawfully possessed trade secrets of their former employer Jawbone, Inc. We are counsel for the one current Fitbit employee, Ms. Zhang, in a high profile and closely watched federal criminal case pending in the Bay Area. No trial date has been set. U.S. District Court for the Northern District of California (San Jose Division), Case No. CR 18-00259BLF
United States v. Burrill, Berger
Acted as counsel for key defense witness who testified in July 2018 in a tax-fraud jury trial against a senior partner of a Bay Area accounting firm. U.S. District Court for the N.D. of Calif. (San Francisco Division), Case No. CR 17-00491 RS.
DEA Licensing Lapse
Represented a Northern California multi-facility medical center by conducting an internal investigation related to an inadvertent lapse in DEA licensing and thereafter negotiated a favorable civil settlement with the relevant US Attorney’s Office.
Formal Disciplinary Hearing
Counseled pharmaceutical benefits aggregator company in formal disciplinary proceedings regarding union contracts and health insurance. Represented company president and employees in adversarial hearing, and ultimately negotiated settlement favorable for all clients.
John Goodman / Goodman Real Estate
Represented board member and co-owner of entity contracted to provide privatized housing for military personnel and their families as a defendant in two suits for fraud (in California and Georgia) and a federal grand jury investigation out of Virginia. Issues include breaking into federal facilities, insurance fraud, and other frauds. Monterey Bay Military Housing v. Pinnacle Monterey, et al. and Fort Benning Family Communities, et al.
United Commercial Bank
Defended a former officer of failed bank in defense of securities class action, bankruptcy trustee action, FDIC enforcement and administrative actions and related government investigations.
U.S. v. Moynihan
Representing defendant in mortgage fraud and money laundering prosecution by U.S. Attorneys' Office in Northern District of California. Negotiated a favorable sentence.
National Public Entity Investigation
Conducted internal investigation into materials security and property theft allegations for large-scale national public entity. Conducted dozens of employee interviews and navigated complex legal and union requirements for public entity.
Medicare Fraud
Represent medical facility employees in investigations of Medicare Fraud.
- Successfully represented former CEO of a university hospital in connection with a Medicare fraud investigation in the Central District of California (Orange County).
- Represented hospital-employee witnesses in the Eastern District of California (Sacramento) in a 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.
FDA Investigation
Represented a former senior executive of a U.S.-based drug company in off-label marketing investigations by the Food and Drug Administration (FDA) and United States Attorneys’ Office.
U.S. v. Graham
In this high profile criminal case, we were appointed by Northern District of California’s Criminal Justice Act Panel to represent world-class track coach Trevor Graham, who was tried in connection with a drug scandal. The jury convicted Graham on one count but deadlocked on the other two. Graham was sentenced to 5 years probation and 12 months home confinement. (Pro bono)
DOJ Actions
Represent individuals and corporations in various DOJ actions.
- In five separate DOJ antitrust price fixing investigations in the DRAM, SRAM, Airline, and LCD/CRT industries, have represented Korean and Japanese targets. Four of the investigations have been completed; one is current.
- Represented former Olympic track coach at trial in connection with a drug scandal. The jury convicted on one count but deadlocked on the other two. Client was sentenced to 5 years probation and 12 months home confinement.
- Conducted an internal investigation for a Silicon Valley corporation in connection with accounting irregularities.
- Represented target of federal criminal investigation of trade secret theft.
- Represented target of federal criminal investigation of alleged bribery of public officials.
- Represented individual employee in a federal criminal investigation of defense contractor fraud. No charges were filed.
- Resolved criminal antitrust case against a local businessman filed by DOJ/Antitrust, including probation.
- Represented public agency in investigation by the U.S. Department of Justice into possible public integrity violations by a California State Senator. Representing same agency in investigation by SEC into public bond issues.
- Represented executive of international software corporation in investigation of Foreign Corrupt Practices issues arising out of activities in Brazil.
Securities Fraud
Currently representing targets and witnesses in various securities fraud investigations and trials.
- Representing targets and witnesses in various securities fraud investigations directed by SEC and U.S. Attorneys' Offices in San Francisco, Los Angeles, and Washington D.C.
- Tried complex criminal securities fraud cases to jury verdicts in U.S. District Court for the Northern District of California.
- Resolved federal criminal and SEC cases alleging revenue recognition fraud against former vice president of international sales of a publicly traded company.
- Resolved federal criminal insider-trading cases against high-tech engineer and attorney, including successful motions for downward departure at sentencing and probation in both cases.
- Defended former CFO in SEC investigation of revenue recognition and accounting fraud. No enforcement proceedings were filed.
- 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.
- Represented general counsel of public company in SEC investigation of possible SOX "reporting up" violation.
- Represented current and former officers and directors in state and federal derivative and shareholder litigation arising from alleged options backdating.
- Represented former outside director in state and federal cases brought by company special litigation committee against former management, board members, and others in connection with allegations of backdated stock options.
- Represented special committee of public national bank in investigation of bank's compliance with anti-money laundering statutes and related regulations.
- Representing CFO in DOJ prosecution and parallel SEC case relating to alleged backdating of stock option exercises and related tax evasion counts.
- Defending the founder and former CEO of public software company in connection with an SEC enforcement case pending in the Northern District of California (San Jose) alleging revenue recognition violations.
Environmental Actions
- 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.
- Negotiated resolution of criminal investigation of corporation and manager for alleged Fish & Game and Water Code violations in application of agricultural pesticide.
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