Government, Internal Investigations & Compliance

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The Government, Internal Investigations & Compliance Group at Moore & Van Allen represents corporations and individuals in criminal investigations and trials, and in civil and administrative enforcement proceedings.  Attorneys in the Group serve as litigators when necessary, but also provide preventive counseling and advice so that future violations can be avoided. 

The attorneys in this Group defend their clients with influence from their real world experience, as members include former prosecutors and defense lawyers, as well as former EPA and Justice Department lawyers, with experience both in the United States and overseas, at trial and on appeal.   Additionally, these attorneys have a wide range of experience in complex commercial transactions in regulated industries, including securities, banking, and health care, and experience in defending criminal trials.  The depth of the Group's experience in criminal, regulatory investigations and sophisticated business litigation, combine to enable the Firm to represent clients in criminal defense and to conduct and defend investigations across a variety of substantive fields and practical circumstances. 

The attorneys within MVA's Government, Internal Investigations & Compliance Group have conduct internal investigations on behalf of in-house counsel, boards of directors and special board management committees.  These investigations range in a variety of issues and often require legal guidance to advise management in the establishment of compliance programs, with an emphasis on Sarbanes-Oxley, Department of Justice Guidelines and the Federal Sentencing Guidelines.  This counseling provides added value for clients, as it serves as a preventative measure for potential violations in the future. 

Additionally, the internal investigations conducted on behalf of public and private corporate clients are in many times done to satisfy inquiries from law enforcement, regulatory agencies, and prosecutors.  Attorneys in the Group have defended clients subject to investigations by law enforcement and indictment by prosecutors; and advised clients in avoiding criminal investigation.  The Group’s experience provides the opportunity to address all aspects of an internal investigation, criminal investigation, or criminal defense.  These aspects can include:  the relationship between a corporate client and its employees who might be under investigation; communications and relationships with key partners, including employees, directors, stockholders, and customers; and navigating the sometimes difficult determination about when it is necessary to cooperate with investigative and prosecuting authorities, and when it is necessary to defend aggressively against allegations made by the government or regulatory agencies.

Representative Cases 

• Defended a physical therapy clinic and its principal against charges of Medicare fraud, successfully challenging the sentence imposed on appeal to the United States Court of Appeals for the Fourth Circuit. 
• Defended at trial, one of the first anti-terrorism cases tried in the United States after the September 11^th tragedy.  
• Represented a real estate firm in connection with federal forfeiture claims arising from criminal activity on property owned by the firm.
• Defended a client against drug conspiracy charges in federal court.  Secured acquittal by jury.
• Conducted an internal investigation in conjunction with federal prosecutor’s investigation of securities fraud conspiracy.
• Advised client with operations on several continents regarding compliance with the Foreign Corrupt Practices Act.
• Defense of an equipment manufacturer in criminal investigation by EPA and FBI.
• Defense of a polymer manufacturing operation in criminal investigation by EPA and FBI.
• Defense of a recycling facility in criminal investigation by EPA and FBI.