Federal and state government authorities have been targeting corporate misconduct with vigor for more than two decades.Whether through regulatory or criminal investigations or enforcement proceedings, government authorities are willing to invest the time and resources to pursue corporate wrongdoing at all levels and to seek penalties, fines, and disgorgement in the many millions or even billions of dollars. These enforcement efforts are further fueled by government coordination across agencies and international authorities as well as by whistleblower allegations, cooperation and self-disclosure policies, congressional scrutiny, investor complaints, and media reports. For those who find themselves in the government’s crosshairs, the need for trusted and experienced advice and counsel—and when necessary, demonstrated trial readiness—is more important than ever.

Shook’s Government Investigations and White Collar practice defends businesses and individuals in their most pressing regulatory enforcement proceedings, white collar defense matters, and investigations. Our practice extends to trials, internal investigations, crisis responses, and complex litigations.

Shook is uniquely positioned to help clients in these most critical of areas for many reasons. Our team maintains a national practice and is composed of more than 25 lawyers across nearly all of our 18 U.S. offices, from New York, Chicago and San Francisco, to Miami, Kansas City, and Washington, D.C. Many of our lawyers have served in the federal and state government at different levels at different agencies and departments, including the Department of Justice, Securities and Exchange Commission, and State Attorneys General Offices. They bring their experiences and insights to counsel and guide clients through some of their most challenging times.

This team allows us to seamlessly work across practice areas, subject matters, and industries to bring the very best resources to bear for our clients. Finally, but quite importantly, as one of the leading trial firms in the United States, Shook tries cases all over the country and has a proven track record of extraordinary success in the courtroom. When negotiations breakdown or efforts to convince government authorities to reconsider their positions runs into impasses, we are willing, ready, and able to convince both judges and juries to side with our clients and opposing counsels know it.

Our team represents companies in matters involving anti-corruption compliance, False Claim Act and whistleblower allegations, internal investigations, and actions brought by state attorneys general. They include former federal and state prosecutors and government officials, who served in:

  • State Attorneys General offices;
  • U.S. Department of Justice;
  • U.S. Federal Trade Commission;
  • U.S. Securities and Exchange Commission;
  • U.S. Army Judge Advocate General’s Corps;
  • U.S. Air Force Judge Advocate General’s Corps.

To keep clients up-to-date on compliance matters, we closely monitor state and federal regulatory developments. Our team maintains contacts at key administrative agencies (including the U.S. Department of Justice, Food and Drug Administration, and the Department of Health and Human Services’ Office of Inspector General) to expedite crucial conversations at critical moments.

Representative Experience

When the U.S. Department of Justice and other regulatory agencies initiate investigations or enforcement actions, they often involve other parallel state and federal proceedings, internal investigations, third-party litigation, and highly publicized allegations, if not speculation. To meet these challenges, and to deliver results when our clients need them the most, Shook employs a comprehensive cross-disciplinary approach, combining defense expertise with investigative knowhow, as well as effective compliance counseling, a robust discovery strategy, and an advanced public relations plan.

Boards, audit and special committees, and company executives turn to us for advice on preventive measures, risk-based assessments, corporate governance, and transactional risks, all with an eye to help minimize the likelihood of expensive and potentially damaging investigations and litigation as well as government intervention. When investigations happen or enforcement proceedings and litigation are threatened, Shook attorneys work tirelessly and creatively to resolve criminal and regulatory matters at the pre-charge stage, which is frequently the objective of our clients—especially our corporate ones. But when it becomes unavoidable that a judge or jury must decide legal or factual issues in dispute, Shook’s trial prowess allows it to win in the courtroom, as our extensive trial record amply demonstrates.

In addition, preparation for the possibility of investigation includes educating executives and employees about their rights and responsibilities as witnesses or targets in an office search or drop-in interview. This education minimizes the disruption of an unexpected enforcement undertaking, facilitates the protection of company information, empowers executives and employees to invoke their rights, and provides assurances to the company’s workforce.

We also work with clients to establish and maintain effective corporate compliance programs, including legal risk assessments, internal investigations and record-keeping audits.

  • Represented financial services provider in a Federal Trade Commission lawsuit that alleged violations of Section 5 of the FTC Act and the Restore Online Shoppers’ Confidence Act arising out of the sale of online discount clubs.
  • Retained a by pharmaceutical manufacturer to assume responsibility for response to an ongoing criminal and civil investigation by the Department of Justice concerning alleged underpayments of Medicaid rebates. Shook’s responsibilities included negotiating the scope of several subpoenas with the DOJ, producing documents and information in response to those negotiated subpoenas, preparing and producing current and former employees for both DOJ interviews and grand jury testimony, presenting internal investigation findings to the DOJ, and securing successful pre-complaint resolution of the matter.
  • Represented a pharmaceutical company in a DOJ Civil Division investigation that was the outgrowth of a civil case filed in the U.S. District Court for the District of New Jersey, which alleged that the company caused false claims for provider reimbursement to be submitted to state and federal health care programs. The DOJ investigation sought information regarding company practices regarding the payment of speaker’s honoraria to individuals for speaking engagements, when such individuals may also be prescribing physicians. Shook’s responsibilities again included negotiating scope of the subpoena with the DOJ, producing documents and information in response to the negotiated subpoena, and responding to follow-up inquiries from the DOJ. The DOJ ultimately took no action.
  • Retained by a pharmaceutical manufacturer to respond to an investigative subpoena served by the California Department of Insurance seeking the production of records dating back decades regarding a specific drug. The subpoena appeared to emanate from a whistleblower’s assertion of violations of the California False Claims Act, with the subpoena then being a function of the state conducting an investigation to determine whether to intervene in the FCA action. Shook represented the client in negotiating a reduced scope of the subpoena, collecting and producing documents, and ultimately preparing and presenting to counsel representing the California Department of Insurance. The state took no further action following the presentation.
  • Represented a health information, technology and clinical research organization in criminal and civil investigations by DOJ. After negotiation and presentation to the government of written and document discovery responses, the matter resulted in a “no action” resolution with the government.
  • Represented a pharmaceutical company in connection with an investigation by DOJ regarding alleged improper drug promotions and physician remuneration.
  • Represented a pharmaceutical company in FTC suit for allegedly abusing the FDA citizen petition process through sham petitioning.
  • Represented a food import company in DOJ/NOAA investigation regarding potential violations of Endangered Species Act; Illegal, Unreported, and Unregulated Fishing Enforcement Act; and Food and Drug Act involving importation and labeling of products.
  • Produced and defended company witnesses for pharmaceutical manufacturers when questioned by AUSA on the issue of alleged off-label promotion.
  • Represented a construction contractor in multiple DOT Office of Inspector General (OIG) enforcement actions, including taking an exclusive role in responding to investigative subpoenas, whether issued by DOT OIG itself, or on behalf of DOT OIG by federal enforcement agencies.