Government Investigations Response and Compliance

The Government Investigations Response and Compliance Group represents clients in a range of matters including government investigations, regulatory and administrative proceedings, and criminal prosecutions. Our attorneys represent individuals and organizations that are the subject of investigations by the FBI, SEC, U.S. Department of Justice, U.S. Attorney’s Office, state Office of the Attorney General and other federal, state and local enforcement agencies. We also advise organizations that discover employee malfeasance or theft, or whose employees are the subject of a criminal investigation. 

Our attorneys have represented clients in actions involving allegations of health care fraud, unfair lending practices, embezzlement, fraudulent billing practices and bank fraud. The Government Investigations Response and Compliance Group has conducted internal corporate investigations at the direction of audit committees and in response to outside criminal investigations. Our attorneys also handle academic disciplinary matters where parallel criminal proceedings are involved.

Ken Pickering appointed to Merit Selection Panel for Two Federal Magistrate Judge Reappointments

Panel Appointed by the U.S. District Court for the District of Massachusetts

[ read full story ]

Ken Pickering: "10 Things I Know About ... Employee Fraud"

[ read full story ]

Pharmaceutical Executives Indicted on Drug Trafficking Charges

4/26/19[ read full story ]

Roger Stone Indicted for Obstruction, False Statements and Witness Tampering

2/4/19[ read full story ]

Responding to a Search Warrant

2/1/19[ read full story ]

Preparing for a Deposition/Interview

2/1/19[ read full story ]

Testifying Before a Federal Grand Jury

2/1/19[ read full story ]

Proposed Changes to Title IX Regulations

12/04/2018[ read full story ]

Responding to a Government Investigation Misclassification of Employees as Independent Contractors

December 2009[ read full story ]

Combating COVID-19-Related Fraud Starts with Training Employees

12/01/2021[ read full story ]

Representative Matters

Response to Government Investigations

S.E.C. / Massachusetts Securities Division
  • Managed responses to multiple investigations by the S.E.C.’s Boston and New York Regional Offices involving allegations of insider trading and the issuance of company stock.
  • Negotiated settlement on behalf of investment advisor following an investigation by the Massachusetts Securities Division.
  • Represented client in S.E.C. investigation involving alleged unlawful pyramid scheme.
  • Coordinated responses to parallel S.E.C. and grand jury investigations on behalf of investment advisors involving federal securities laws.
  • Advised private investment company with regarding to S.E.C. investigation.
F.B.I. / U.S. Attorney's Office
  • Represented certified public accountant in embezzlement investigation conducted by the U.S. Attorney’s Office and the Department of Justice.
  • Represented local law enforcement agency in a civil rights investigation conducted by the F.B.I. and the U.S. Department of Justice.
  • Achieved a refusal to prosecute decision by the U.S. Attorney's Office following an FBI investigation into allegations of computer crimes and theft of intellectual property.
  • Represented a clinical medical facility in an FBI investigation concerning medical billing practices.
  • Obtained non-prosecution decision by the U.S. Attorney’s office following investigation involving real estate investment by foreign nationals.
  • Achieved non-indictment for client involved in federal grand jury investigation concerning alleged bank fraud.
  • Performed an internal investigation and represented a corporate client in an FBI health care fraud investigation.

Attorney General's Office / State and Local Law Enforcement
  • Represented client in an investigation by Massachusetts Attorney General’s Office involving educational lending practices.
  • Represented state contractor in a Massachusetts Attorney General Grand Jury investigation concerning potential bid rigging and gifts/gratuities violations.
  • Negotiated settlement with the Massachusetts Attorney General’s Office following an investigation in alleged unfair marketing and billing practices.
  • Represented corporate client in criminal investigation conducted by the Worcester P.D. resulting in decision not to prosecute.
  • Responded to an investigation by the Massachusetts Attorney General’s Office on behalf of a client concerning medical billing practices.
  • Achieved non-prosecution decision on behalf of client investigated for criminal environmental violations involving alleged hazardous waste discharge.
  • Represented client in a Massachusetts Attorney General Grand Jury investigation involving alleged violations of political contribution laws.
H.H.S. Office of Inspector General / MASSHEALTH
  • Responded to health care fraud investigation conducted by the Office of Inspector General of the U.S. Department of Health and Human Services.
  • Negotiated a comprehensive Corporate Integrity Agreement on behalf of a medical services provider with the Department of Health and Human Services, Office of Inspector General.
  • Advised medical billing company involved in MassHealth billing audit concerning the provision of optical services.
  • Represented medical provider in a MassHealth investigation into improper billing practices.
Other Investigative Agencies
  • Advised corporation under investigation by the Office of Foreign Asset Control.
  • Represented manufacturer in antidumping investigation conducted by the U.S. International Trade Commission.
  • Represented client in an audit and investigation conducted by the Massachusetts Division of Banks.
  • Advised client subject to investigation by the National Railroad Passenger Corporation Inspector General’s Office.
  • Represented multistate manufacturer subject to investigation by U.S. Immigration and Customs Enforcement.
  • Represented client in response to search warrant video surveillance requests.
Internal Investigations

Employee Fraud / Embezzlement
  • Conducted internal corporate investigation in response to a health care fraud inquiry by the Office of Inspector General of the U.S. Department of Health and Human Services.
  • Carried out internal investigation relating to allegations of multimillion dollar theft from a manufacturing facility.
  • Performed investigation into allegations of employee embezzlement and violations of Federal Firearms Dealers Regulations. Made referral to law enforcement for federal prosecution.
  • Conducted internal investigation and oversaw analysis of accounting records involving allegations of bank fraud. Coordinated and relayed findings to the FBI for criminal prosecution.
  • Assisted financial institution with internal investigation involving employee embezzlement. Made referral to US Attorney’s Office.
  • Performed internal investigation for the audit committee of a public company involving allegations of corporate fraud.
  • Reviewed patent documentation and made referral to US Attorney’s Office regarding theft of intellectual property.

Corporate / Non-Profit and Public Entities
  • Performed internal investigation of police department’s timekeeping practices.
  • Conducted internal investigation of academic medical facility involving alleged unlawful billing practices.
  • Performed internal corporate fact finding in response to Massachusetts State Police investigation.
  • Conducted internal investigation of healthcare provider compliance issues and made self-disclosure to Massachusetts Medicaid Fraud Division.

False Claims Act / Qui Tam Actions
  • Responded to Civil Investigative Demand in response to whistleblower claims, represented client in parallel federal criminal and civil investigations, and represented client in federal civil litigation involving the U.S. Attorney’s Office and the Department of Justice.
  • Received a full dismissal by both the U.S. Department of Justice and relator in a whistleblower case involving allegations of healthcare fraud and violation of the Anti-Kickback Statute and Stark Act.

Our Practices