Jenner & Block

Investigations, Compliance and Defense

Representative Engagements

Our Investigations, Compliance and Defense Practice commonly represents corporations, as well as their officers and directors, in connection with investigations of potential wrongdoing by grand juries and regulatory authorities.   We regularly advise corporations as to the most effective means to mitigate the impact of any detected misconduct and to implement or modify corporate compliance programs to minimize the likelihood of recurrent problems.

Please click on the links below to view our representative experience in the following areas:


ANTITRUST

  • Representation of a subsidiary of an international food conglomerate in federal grand jury investigation, and related federal and state civil litigation, alleging price-fixing of high fructose corn syrup in one of the largest alleged price-fixing conspiracies in U.S. history.
  • Representation of a subsidiary of an international food conglomerate in federal grand jury investigation of international citric acid cartel.
  • Representation of an agricultural company in a grand jury investigation into alleged price-fixing in the peanut industry.
  • Representation of a contractor in grand jury investigation into price-fixing in the building supplies industry.
  • Representation of a commercial food manufacturer in a grand jury investigation and related federal and state civil litigation alleging price-fixing.
  • Obtained amnesty for a major U.S. Air Force contractor in a grand jury investigation into alleged bid rigging.

EDUCATIONAL INSTITUTIONS

  • Represented a university in federal court litigation arising out of the university’s finding of student misconduct in connection with a sexual assault.
  • Led a confidential internal investigation for a major public university.
  • Advised university in connection with a confidential personnel matter involving a sports coach.
  • Defended two religious schools in cases involving alleged misconduct by a relative of an instructor.
  • Won a landmark dismissal of the first putative concussion class action in the nation against a statewide high school athletic association.

FALSE CLAIMS

  • Representation of Q2Administrators in a False Claims Act case in the District Court for the Eastern District of Pennsylvania. The Plaintiff alleged that the defendants had improperly reviewed appeals of Medicare claims for durable medical equipment because they allegedly did not provide for review by a physician or healthcare professional as required by the regulations. The case was dismissed in its entirety for lack of subject matter jurisdiction.
  • Defense of pharmaceutical manufacturer in qui tam action alleging off-label promotion of prescription drugs, kickbacks to physicians and Medicare/Medicaid fraud.
  • Representation of a medical device manufacturer in qui tam litigation alleging false claims in connection with the sale of medical devices to medical centers operated by the U.S. Department of Veterans Affairs.
  • Representation of an international pharmaceutical company in connection with a DOJ investigation and related qui tam actions involving alleged violations of Anti-Kickback Act, False Claims Act and Prescription Drug Marketing Act.
  • Representation of a medical supplies company in a qui tam case alleging that transactions with hospital customers violated the anti-kickback statute.
  • Representation of a medical laboratory in a qui tam case and government investigation involving allegations of improper inducements to physicians.
  • Representation of a medical device manufacturer company in a qui tam action filed under the False Claims Act. We investigated the allegations and reached a settlement with the government that prevented the company from being debarred from contracting with the government.
  • Representation of Biogen Idec, Inc. in a qui tam lawsuit that alleged that Biogen's illegal marketing of a widely prescribed cancer treatment for off-label use in treating rheumatoid arthritis prior to the FDA's approval resulted in false claims for reimbursement to be submitted by doctors to Medicare and Medicaid. The court granted Biogen's motion to dismiss the lawsuit.
  • Representation of University of Chicago Hospitals in government investigation arising from voluntary disclosure, and subsequently-filed qui tam lawsuit involving allegations of improper billing to Medicare and Medicaid based on billing for services rendered by residents with inadequate supervision by teaching physicians, upcoding, the 72-Hour Window Project and other billing inquiries.
  • Representation of University of Chicago in a qui tam action filed under the False Claims Act alleging that one of its faculty had misused federal research grant funds given to the University for cancer research by using them in his private business.
  • Representation of a University Medical Center in the successful defense of qui tam litigation and against related whistleblower retaliation claims filed under the False Claims Act, the Illinois Whistleblower Reward and Protection Act, and common law defamation. The U.S. District Court dismissed the retaliation claims, and all claims were settled pending plaintiff's appeal.
  • Representation of a pharmaceutical company that brought a qui tam action against a competitor based on prior findings in prior patent litigation that the competitor had obtained patents through fraud on the Patent Office, thereby forcing the government to pay exorbitant prices for patented products.
  • Representation of multiple Medicare carriers in defense of DOJ investigations and qui tam lawsuits involving alleged false claims in connection with carriers’ processing and reporting of Medicare claims.
  • Representation of numerous doctors, ambulance companies and pharmacists in defense of Medicare and Medicaid false claims and fraudulent overbilling investigations and prosecutions.
  • Representation of Olin Corporation in defense of a $90 million qui tam action that alleged Olin fraudulently submitted ammunition to the federal government that had previously been rejected as nonconforming. The District Court granted Olin’s motion to dismiss in its entirety.
  • Representation of Lockheed Martin in a qui tam case filed in the Northern District of Texas alleging that upgrade work performed by Lockheed Martin, Northrop Grumman and Integrated Coast Guard Systems, LLC, on U.S. Coast Guard cutters, under the “Deepwater Program,” did not meet contract requirements. The relator, a former engineer with Lockheed Martin, claims damages of at least $96 million.
  • Representation of manufacturer of nuclear submarines in qui tam litigation alleging inadequate testing of valves.
  • Representation of a Fortune 500 manufacturer of avionics systems for military aircraft in a qui tam case filed in the District of New Mexico alleging that the manufacturer improperly accounted for certain subcontract costs on a foreign military sale, resulting in the submission of hundreds of false claims over several years. We investigated the case and persuaded the U.S. Government not to intervene, litigated against the relator and obtained summary judgment on all counts.
  • Representation of General Dynamics in a qui tam lawsuit, which alleged that General Dynamics fraudulently procured the contract for the third Seawolf submarine (“the Jimmy Carter”).  The relator claimed damages of $4 billion on behalf of the United States, subject to trebling under the False Claims Act. After extensive discovery, briefing and argument, the court granted General Dynamics’ motion for summary judgment, dismissing the case with prejudice.
  • Representation of General Dynamics in a qui tam action filed in the District of Utah, involving the company's production of F-16 aircraft. Based on investigation, including statements obtained from government witnesses showing a lack of basis for the alleged fraud, the relator agreed to dismiss the case in the face of a threatened claim for attorneys' fees.
  • Representation of General Dynamics in a qui tam action filed in the District of Arkansas, involving the company's production of ordnance. Again, based on investigation, including statements obtained from government witnesses showing a lack of basis for the alleged fraud, the relator agreed to dismiss the case in the face of a threatened claim for attorneys' fees.
  • Representation of General Dynamics in a qui tam action filed in the District of Connecticut, involving the company's production of submarines at Electric Boat. Based on investigation, including statements obtained from government witnesses showing a lack of basis for the alleged fraud, the court dismissed the complaint and awarded attorneys' fees to General Dynamics.
  • Representation of General Dynamics in a False Claims Act case in the Southern District of New York, in which the United States sought over $300 million dollars in FCA damages. Following a 10-week trial, the district court ruled for General Dynamics and dismissed the FCA claim.
  • Representation of Honeywell in a reverse False Claims Act lawsuit alleging that Honeywell made false statements to join a partnership that enabled the company to pay a reduced amount of inspection fees to the government. Obtained dismissal which was affirmed by U.S. Court of Appeals for the Third Circuit.
  • Representation of a multinational military contractor in a grand jury investigation, qui tam lawsuit and DOJ civil investigation regarding pricing and labor charging.
  • Representation of a major supplier of hardware and other items to the federal government in connection with an investigation into allegations that the supplier failed to give the government the lowest price.
  • Representation of a major supplier of hardware and chemicals in a grand jury investigation into allegations that the company improperly paid kickbacks to its customers’ purchasing agents.
  • Representation of an internet retailer and several sporting goods retailers against allegations of a violation of the sales and use tax statute brought under Illinois’ qui tam statute. The circuit court dismissed the action, and was affirmed on appeal.

FOREIGN CORRUPT PRACTICES ACT INVESTIGATIONS

  • Conducted an internal investigation for a Fortune 500 company regarding alleged improper payments by an agent of its subsidiary in a South American country.
  • Conducted an internal investigation for a mid size US defense contractor regarding potentially corrupt payments in connection with a Middle East country contract and advised and guided the company through remediation, disclosure and settlement discussions.
  • Conducted an internal investigation for European subsidiary of a Fortune 100 company into allegations of corruption in an East European contract and advised company on remediation and resolution of dispute with sales agent.
  • Conducted an internal investigation for a multinational defense industry company regarding entertainment of foreign officials and represented company in disclosures to State Department, DOJ and SEC.
  • Conducted post-acquisition due diligence for major oil industry company of acquired entity’s operations in multiple countries.
  • Conducted internal investigations for multinational corporation into potential corruption problems in multiple jurisdictions including Sub-Saharan Africa and Latin America and advised on remediation
  • Represented a major natural resources extraction company in an internal investigation of alleged improper payments made in a Latin American country and a voluntary disclosure.
  • Conducted an internal investigation covering potential violations in a Southeast Asian, a West African and two South American countries made by a European subsidiary of a Fortune 100 corporation and advised the company on remediation and disclosure.
  • Conducted an internal investigation for international aerospace contractor and provided advice regarding its relationship with former representative in an Asian country.
  • Conducted an internal investigation into potential corrupt payments to various administrative entities of a North African country by employees of a major natural resources industry construction contractor and advised on remediation and potential disclosure.

FOREIGN CORRUPT PRACTICE ACT COMPLIANCE COUNSELING

  • Performed complete compliance review for a multi-national tobacco company, including assessment of the design and implementation of a multinational tobacco company's compliance program against applicable benchmarks and suggested possible improvements and evaluation of effectiveness of the company's compliance program.
  • Performed comprehensive, multi-phased compliance review of a large, international corporation. Reviewed draft policies, evaluated due diligence protocols, observed training programs, tested accounting procedures and analyzed tone at the top. Conducted critical evaluation of implementation of compliance program components. Assessed entire compliance program against the U.S. Sentencing Guidelines and other benchmarks and provided guidance to improve program. Presented analytical review of compliance program to the Department of Justice for consideration in FCPA case settlement negotiations.
  • Conducted an intensive onsite compliance audit at an overseas location of a major multi-national client. This compliance review, which included myriad foreign language interviews, was performed in cooperation with a large financial consulting firm and covered financial/accounting analysis, assessment of legal risks and adequacy of policy implementation.
  • Represented an international investment institution to provide advice and guidance on the adequacy of the company’s due diligence of third parties in several African countries. In addition, upon close review of the client’s FCPA policy and procedures, we revised their policies and procedures to make them comprehensive, practical and tailored to the particular risks facing the client.
  • Advised private equity company regarding overhaul of compliance programs for acquired companies and, thereafter, implemented improved compliance programs for acquired companies.

FINANCIAL AND SECURITIES FRAUD

  • Representation of a CFO of publicly traded jewelry retailer in grand jury investigation into allegations that CFO had aided and abetted one of the company’s suppliers in committing bank fraud.
  • Conducted internal investigation into allegations of fraud by corporate controller in the reconciliation of accounts of financial institution.
  • Conducted internal investigation into allegations of improper customer billing, improper payment of sales commissions and falsification of internal reports and records of an energy company.
  • Conducted internal investigation into alleged fraud scheme perpetrated by senior management of major financial services firm, resulting in remedial action, removal of management and federal grand jury probe of alleged fraudfeasors.
  • Conducted internal investigation on behalf of one of nation’s largest municipal housing authorities, resulting in successful prosecution of former officers for defrauding the housing authority’s pension fund.
  • Conducted internal investigation into alleged improprieties in a stock exchange’s stock depository procedures, resulting in voluntary disclosures to Securities and Exchange Commission and successful civil resolution.
  • Representation of a senior officer of a publishing company in grand jury and SEC investigations and civil class action litigation.
  • Representation of brokers and traders in connection with grand jury investigation of allegations of improper trading practices at The Chicago Mercantile Exchange and The Chicago Board of Trade.
  • Representation of an auditor in grand jury investigation into alleged conspiracy to commit securities fraud by executives at bankrupt insurance company.
  • Representation of a corporate victim of fraudulent accounting scheme in criminal proceeding and civil litigation against a former officer.
  • Representation of a hedge fund trader in grand jury investigation into receipt of stolen securities.
  • Representation of Controller of a publicly traded company in grand jury and SEC investigation into allegations of false and misleading accounting entries.
  • Representation of an investment fund in connection with SEC allegations of insider trading.
  • Representation of a major utility in a grand jury and SEC investigation of improper payment of funds to certain officers and directors.
  • Representation of a publicly traded manufacturer of chemicals and plastics in an SEC inquiry into improper accounting allegations.
  • Conducted an internal investigation relating to accounting issues at a publicly held biotechnology company.
  • Representation of a former CFO of a nationwide health and fitness company in connection with an internal investigation related to accounting issues.
  • Representation of several officers of one of the nation’s largest telecommunications companies in successful defense of SEC and related DOJ investigations.
  • Representation of numerous individuals and corporations in successful defense of SEC insider-trading investigations.

FOOD AND DRUG SAFETY

  • Representation of a large meat producer in a grand jury investigation regarding allegations of interstate transportation of adulterated food products.

#METOO / WORKPLACE SEXUAL MISCONDUCT, HARASSMENT AND DISCRIMINATION

  • Investigated allegations of sexual harassment made against a senior executive of a private investment company.
  • Conducted a sexual harassment investigation for a leading manufacturer of food packaging brought against a high-level executive as well as a number of sexual harassment investigations that involved lower-level employees.
  • Advised a large public institution regarding the conduct of an internal investigation into alleged sexual abuse, including advice relating to attorney-client and work-product privileges.
  • Investigated a high-ranking officer at a Fortune 500 industrial supply company and reviewed and provided input on the company’s harassment policies.
  • Investigated the CEO of a public housing authority for sexual misconduct issues.
  • Represented a national trucking company against sexual harassment claims brought by the Equal Employment Opportunity Commission (EEOC) on behalf of 154 female truck drivers. 
  • Represented an American telecommunications company in connection with a harassment lawsuit brought against it by two employees, where we helped negotiate a favorable resolution of the case.
  • Conducted harassment training for a wide variety of Fortune 500 companies and internationally renowned non-profits.
  • Reviewed and revised harassment training materials and harassment policies for many domestic and international clients.
  • Counseled numerous clients on harassment issues including appropriate discipline and remediation.
  • Conducted a cross border internal investigation on behalf of a Fortune 500 company into allegations of sexual misconduct involving a high-ranking executive.

HEALTHCARE FRAUD

  • Representation of a COO of major health provider in connection with internal investigation into allegations that company had distributed falsified test result to its customers.
  • Representation of a medical device manufacturer company in a qui tam action filed under the False Claims Act.  We investigated the allegations and reached a settlement with the government that prevented the company from being debarred from contracting with the government.
  • Representation of a manufacturer of genetically engineered drugs against allegations that it had engaged in off-label promotion of certain growth hormone products.
  • Representation of a prescription drug manufacturer in a grand jury investigation into allegations that it misled the Food and Drug Administration in connection with a new drug application.
  • Representation of a leading university hospital in defense of federal investigation of Medicare and Medicaid billing practices and related qui tam lawsuit, resulting in successful settlement of qui tam lawsuit and government’s declining to pursue any civil or criminal claims.
  • Representation of a president and general counsel of a hospital and health care services provider in connection with federal investigation of alleged kickback payments to doctors.  Although numerous doctors and others were charged, our clients were not.
  • Representation of an international pharmaceutical company in connection with DOJ investigation and related qui tam actions involving alleged violations of Anti-Kickback Act, False Claims Act and Prescription Drug Marketing Act.
  • Representation of multiple Medicare carriers in defense of DOJ investigations and qui tam lawsuits involving alleged false claims in connection with carriers’ processing and reporting of Medicare claims.
  • Representation of numerous doctors, ambulance companies and pharmacists in defense of Medicare and Medicaid false claims and fraudulent overbilling investigations and prosecutions.

PUBLIC CORRUPTION

  • Representation of several City of Chicago employees and other witnesses in a grand jury investigation of alleged fraud and patronage hiring abuses.
  • Representation of contractors in multiple grand jury investigations into alleged fraud in the procurement of various contracts by Illinois state agencies and municipal corporations.
  • Representation of a manufacturing company in grand jury investigation in Northern District of Illinois involving allegations of government program fraud.
  • Representation of a lobbyist in grand jury investigation into allegations of improper campaign contributions in Wisconsin.
  • Representation of witnesses in the investigation of former Illinois Governor George Ryan.
  • Representation of a Fortune 100 corporation in a grand jury investigation of allegations of bribery of public officials in Houston, New Orleans and Cleveland.
  • Representation of numerous City of Chicago officials in connection with grand jury investigation of ghost pay rolling.
  • Representation of real estate company in grand jury investigation into allegations of bribery in procuring a development project from a local municipality.
  • Representation of insurance agency in grand jury investigation into allegations of fraud in connection with the agency’s relationship with a public official.
  • Representation of financial services company in a grand jury investigation into allegations of bribery of public officials.
  • Representation of a CEO of major food manufacturer in successful defense of independent counsel investigation of alleged bribery of Secretary of Agriculture.

TAX FRAUD

  • Representation of an executive in grand jury investigation into alleged tax fraud in connection with buying commissions paid by the executive’s company to related entities in foreign countries, as well as in related class action litigation.
  • Representation of a prominent tax lawyer in a grand jury investigation of allegations that the attorney promoted fraudulent tax shelters.

OTHER REPRESENTATIONS

  • Representation of an international electronics manufacturer in a successful defense of an indictment for conspiracy to steal trade secrets from a competitor.
  • Conducted internal investigation of a manufacturer of packaging products into alleged wrongdoing by several plant managers and helped implement corrective remedial action plan.
  • Representation of a nursing home indicted for gross neglect in connection with the death of a resident.
  • Representation of a large public utility in the Midwest in successful defense of federal grand jury investigation into alleged concealment and misrepresenting of defective safety conditions.
  • Represented waste management company in a grand jury investigation into allegations of mistreatment of hazardous waste.