An effective corporate compliance program and promoting a culture of adhering to it are integral to avoiding government investigations. Businesses and institutions should implement reasonable and carefully structured policies and procedures that call for employees to act honestly and legally in carrying out the mission of their employer. Promoting a “culture of compliance” serves to identify employee non-compliance. When it is learned that a rogue employee has engaged in misconduct, it is necessary to identify its extent, assess its impact, and evaluate any related business practices.
Because a proactive approach is best, we counsel clients on preventive measures that can be implemented in an effort to secure employee compliance and thereby avoid government investigations altogether. We have evaluated, developed and implemented business compliance and ethics programs for national and international clients, and have advised management and boards on corporate governance issues. We have significant experience in both drafting codes of conduct and related policies and in developing appropriate training programs.
One of the goals of an effective compliance program is to create mechanisms designed to identify potential misconduct by a rogue employee. Such a program serves to compartmentalize issues that if not identified or left unaddressed could lead to compliance shortcomings within the organization that may result in a government investigation. With a team that includes two former U.S. Attorneys, three former Assistant U.S. Attorneys and a former U.S. Senator, our firm knows how to conduct discreet internal reviews and investigations.
We also have the experience to advise clients on the best manner of handling the information that is developed during the internal review or investigation. There are times when disclosure of the findings of an internal investigation to the government is either required by law or is in the client’s best interest. There are other times, however, when disclosure may not be appropriate. Our extensive prosecutorial and government experience and our relationships with the law enforcement community enable us to guide clients as they tackle these difficult issues.
When a client is faced with a government investigation, we are able to demonstrate to the relevant authorities how a concern has been addressed proactively and show that new or improved procedures have been implemented to prevent similar problems from recurring. Such facility and understanding of the government’s perspective are crucial to establishing credibility with government investigators and promoting a dialogue that focuses on remedies and assurances of future compliance that minimizes the likelihood of punitive measures.
The effective and comprehensive internal investigations we have completed include ones we conducted at the request of large corporations, publicly traded companies, a professional sports team, healthcare entities, public bodies and a large public university.
Represented a Fortune 500 company in a Department of Defense investigation in the District of Minnesota. No charges brought.
Represented a Fortune 500 company in an investigation by the U.S. Attorney’s Office in the District of New Jersey. No charges brought.
Represented a Fortune 500 company in an investigation in California by the Antitrust Division of the Department of Justice. No charges brought.
Represented a public online payment processor in an investigation by the U.S. Attorney’s office in the Eastern District of Missouri regarding internet gambling issues. $10 million civil settlement.
Represented a defense contractor in an environmental investigation by the U.S. Attorney’s Office in the District of Kansas. No charges brought.
Represented chief compliance officer in a Medicare investigation by the U.S. Attorney’s Office in the Western District of Missouri. No charges brought against client.
Represented CEO of Fortune 500 company being investigated by the U.S. Attorney’s Office for the Eastern District of Missouri. No charges brought against our client.
Represented executive at stock brokerage under investigation for revenue sharing. No charges brought against our client.
Represented health care company under investigation by the Antitrust Division of the Department of Justice. No charges brought.
Represented health care executive in an investigation by the U.S. Attorney’s Office for the Central District of Illinois. No charges brought.
Represented health care executive in a Medicare fraud case brought by the U.S. Attorney’s Office for the Southern District of Illinois. The case was dismissed due to improper venue.
Represented employees of a multi-state locksmith company in defense of an indictment for mail and wire fraud. Based upon our motions, the Magistrate Judge issued an order recommending that the trial judge dismiss the case. The Government subsequently voluntarily dismissed the case and did not re-indict it.
Represented a fiscal intermediary in a Medicare investigation by the U.S. Attorney’s Office for the Eastern District of Missouri and the Department of Justice Commercial Litigation Branch. There was a civil settlement but the company was not charged.
Represented manufacturing company in an environmental investigation regarding illegal diversion of polluted water and false record keeping in rural Missouri by the U.S. Attorney’s Office for the Eastern District of Missouri. No charges were brought.
Represented accountant in major fraud investigation by the Missouri Attorney General, the U.S. Attorney for the Western District of Missouri and the FBI. No charges brought against client. Numerous others charged.
Represented defense contractors in two qui tam cases investigated by the Department of Justice and U.S. Attorney’s Office. The U.S. refused to intervene and the cases were dropped.
Represented major insurance company in fraud investigation by the Eastern District of Missouri U.S. Attorney’s Office. No charges brought.
Represented manufacturing company under investigation for mail fraud against the Department of Defense. No charges brought.
Represented councilman under investigation for taking bribes. No charges brought.
Represented attorney under investigation for obstruction of justice and environmental violations by Department of Justice. No charges brought.
Represented attorney under investigation for filing false documents with the Citizenship and Naturalization Service. No charges brought.
Represented attorney under investigation in California for identity theft. No charges brought.
Represented numerous companies in investigation relating to internet gambling, including radio networks, payment service companies, internet providers and advertisers.
Represented stock broker in a fraud investigation by the U.S. Attorney’s Office for the District of Washington. No charges filed against client.
Represented executive for a major food producer in an environmental investigation by the U.S. Attorney’s Office for the Western District of Missouri. No charges brought.
Represented country club in environmental investigation in the Eastern District of Missouri by the U.S. Attorney’s Office. No charges brought.
Represented health care company in investigation by the Civil Rights Division of the Department of Justice. No civil or criminal charges brought.
Represented executive investigated by the U. S. Commodities and Futures Trading. No charges brought against our client.
Dowd Bennett is a litigation firm with extensive courtroom experience. Led by trial-seasoned lawyers, including former federal prosecutors and judicial law clerks, our team shares tenacity, a passion for seeing cases through trial and a complete commitment to client service.
