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Experience

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Securities, Financial Institutions, and Investment Management

Our team of attorneys have represented financial institutions and individuals involved in the securities and investment management industries in a wide range of criminal and regulatory matters and conducted internal investigations across different industries involving federal, state, and international jurisdictions.  Our most recent experience includes the following representative matters

  • Represented a Fortune 50 bank and investigated allegations of executive misconduct from government agencies and private plaintiffs relating to mortgage-backed securities
  • Represented broker dealers in state, federal, and SRO (FINRA) regulatory inquiries relating to “Ponzi scheme” allegations by their registered representatives
  • Represented financial institutions and their boards and holding companies in inquiries from the FDIC, OCC, OTS, and Federal Reserve regarding various regulatory and operational matters, including allegations of irregular or unsound banking practices
  • Represented a state agency in an investigation relating to allegations of executive misconduct, improper investment practices, and improper accounting practices

Internal Investigations

Our team of attorneys regularly conducts sensitive internal investigations of alleged and potential wrongdoing for public and private companies, their boards and board committees, and general counsels.  We have been effective conducting thorough and efficient investigations of potential wrongdoing that give balance to the protection of the integrity and day-to-day operation of the company’s business plan.  Our most recent representative experience includes the following

  • Conducted privileged investigation of allegations of Sarbanes-Oxley violations for public companies and their boards
  • Conducted privileged investigation of information security breaches and other systems intrusions and insider issues, while representing the organizations affected by those incidents before state attorneys general and federal regulators
  • In addition, our team has investigated allegations of illegal bribes, insider trading, breaches of fiduciary duty, alleged accounting irregularities, fraud, money laundering, network misconduct and theft of trade secrets, violations of government contract regulations, and violations of Foreign Corrupt Practices Act (FCPA)  

Compliance and Internal Control Reviews and Audits

Our attorneys advise and create compliance processes and internal control reviews and audits to help reduce the risk of criminal and regulatory exposure

  • Our team provides ongoing advice on risk reduction strategies, corporate communications, insider trading policies, public and private securities offerings, relationships with independent auditors, whistleblower policies, and compliance with the Foreign Corrupt Practices Act, Sarbanes-Oxley, other securities laws and regulations, and privacy laws and regulations  
  •  Our attorneys work closely with corporate departments in connection with the preparation of their SEC and other regulatory filings, including assisting with the development and evaluation of disclosure controls and procedures, as well as internal controls 

Litigation Defense

Our team has defended a wide range of matters from private litigants and classes to matters before the SEC, DOJ, FTC, FDIC, Financial Industry Regulatory Authority (FINRA), and state securities regulators and attorneys general.  Such matters include insider trading, accounting fraud including revenue recognition and valuation of assets, microcap fraud, disclosure and offering fraud, misuse and misappropriation of client assets, money laundering, and bank fraud.

  • Represented publicly traded company and directors and former directors in securities fraud class action
  • Represented directors and former directors of publicly traded company in derivative litigation brought by shareholders
  • Represented publicly traded community banks in shareholder derivative litigation associated with a merger/acquisition—both on the target and purchaser side

Healthcare

Our team of experienced healthcare litigators and former federal prosecutors, regulators, congressional investigators, and compliance officers understand the investigative process, because many of team members prosecuted and defended health industry cases in the government, and in private practice.

Government Investigations

From high-profile criminal fraud and abuse matters to private, internal corporate compliance issues, our investigative approach is tailored to each client and each set of facts.  Whether the case requires a delicate cooperative interaction with or a voluntary disclosure to regulators—or requires an aggressive litigation stance during a federal or state trial—our team is prepared to vigorously defend our client's interests.

  • These internal inquiries and civil and criminal investigations by federal and state authorities often involve both bet-the-company issues and significant collateral proceedings. Collateral proceedings can include congressional investigations, third-party payor suits, and DHHS OIG regulatory actions
  • Accordingly, to provide multi-disciplinary representation, our Healthcare Government Investigations attorneys work closely with our Government Relations, Litigation, Tort, FDA. and Life Sciences regulatory lawyers

False Claims Act and Whistleblower Practice

Our team of attorneys have successfully handled numerous healthcare and pharmaceutical False Claims Act (FCA) cases, including whistleblower retaliation claims.  Our initial goal in such cases is to persuade the government not to intervene, and we have a record of success in that regard.  A list of our recent representative experience includes the following

  • We are quite comfortable in litigating FCA cases and seek to obtain the most favorable and cost-effective resolution for the client—either through litigation and trial, if necessary, or through an appropriate settlement. Our FCA lawyers also are experienced in negotiating FCA settlements and, when necessary, Corporate Integrity Agreements (CIAs)
  • In addition, we are experienced in managing and dealing with suspected or known whistleblowers and understand the sensitivity and judgment that must be afforded in this area 

Healthcare Litigation

Nelson Mullins healthcare team offers trial lawyers who have litigated cases in state and federal courts, administrative proceedings, arbitration panels, and various appellate forums.  At the same time, our team understands the intricate healthcare payment system—the unique business environment and overlay of regulations and agency oversight that affect the way that healthcare entities operate.

  • Our clients include for-profit and non-profit health care providers; pharmaceutical companies; medical device manufacturers; managed care organizations such as insurers, HMOs, administrators of self-funded plans; pharmacy benefit managers; and accounting firms
  • Our lawyers have litigated myriad disputes on behalf of healthcare entities, including class actions attacking pricing practices, regulatory compliance challenges, managed care disputes, disputes arising from merger-related activity, reimbursement disputes, and challenges to accounting practices  

Healthcare Regulatory and Compliance

Nelson Mullins advises healthcare industry clients on a wide range of regulatory issues, including fraud and abuse compliance, Anti-Kickback and Stark law compliance, HIPAA compliance, 340B drug discount program participation and compliance, conflict of interest disclosure and management processes, and compliance with a variety of licensure, accreditation and certification laws and standards.

  • For those clients operating under Corporate Integrity Agreements or consent orders relating to reimbursement, licensure, or other regulatory standards, we provide guidance on ongoing compliance with their terms  
  • Our regulatory advice clients include health systems; nursing homes; acute care and specialty hospitals; home health agencies; hospices; providers of imaging, clinical laboratory, and other diagnostic services; HMOs and other managed care organizations; health plans; pharmaceutical companies; retail pharmacies; pharmacy benefit management companies, physician organizations, medical device manufacturers; and pharmaceutical manufacturers

Health Information Privacy and Security

Nelson Mullins represents a wide range of health care providers, health plans, and health care products and service companies in HIPAA and other health information privacy and security compliance issues, including as applicable to HIPAA-covered entities, business associates, research organizations, research sponsors, and vendors of health informatics products.  We also advise clients on state privacy laws and identity theft laws that often apply to patient demographic and financial information in the possession of health industry companies.

  • Our team has considerable experience assisting covered entity and business associate clients with HIPAA security rule compliance, which requires a close working relationship between legal counsel and the client's IT staff and/or external IT consultants in order to sort through the details of how particular security measures achieve compliance with the legal requirements  
  • In addition, although some HIPAA security rule requirements are specific, many requirements are quite general, which presents a challenge when implementing specific compliance responses that would be viewed as reasonable and appropriate in an audit by enforcement authorities 
  • Finally, we help clients focus on ensuring that policies and procedures and other compliance measures not only are HIPAA compliant, but also are realistic, practical, and achievable

White Collar Defense

Our team of white-collar lawyers and experienced trial lawyers includes former federal and state prosecutors, SEC and other regulatory leaders, and criminal defense lawyers who have devoted their entire careers to saving the reputations and preserving the liberty of their corporate and individual clients.  Our representative experience includes engagements in the following substantive areas:

  • Income tax evasion and fraud
  • Money laundering
  • Bank and wire fraud
  • Insurance fraud
  • Medicare and Medicaid fraud
  • Securities fraud
  • Insider trading
  • Bid rigging
  • Kickbacks
  • Arms Export Control Act
  • FCPA and Trading With the Enemy Act
  • Hobbs Act
  • Public corruption
  • Payroll tax fraud
  • False statements (Section 1001)
  • Aggravated identity theft
  • Export-import bank fraud
  • Improper accounting practices
  • Off-label drug promotions
  • Average wholesale price (AWP) manipulation
  • FDA regulations 
  • Business opportunity fraud
  • Broker dealer representations in FINRA and other investigation

We work with clients to

  • manage internal investigations in a variety of areas, including securities, product liability, healthcare, and pharmaceutical
  • respond to regulatory inquiries in an efficient manner and in a way that seeks to minimize possible civil and criminal exposure
  • represent them in civil or criminal trials, which can quickly become bet-the-company litigation
  • help manage the internal and external business and reputational risks that come with regulatory scrutiny and bet-the-company litigation 

Balanced perspectives from multidisciplinary team

Regulatory inquiries and civil and criminal investigations by federal and state authorities often involve both company reputation issues and significant collateral proceedings.  To provide multi-disciplinary representation for our clients, our attorneys in this group work closely with our government advocacy and public policy, business litigation, FDA/life sciences regulatory, and other practice groups.

  • Former federal prosecutors, regulators, congressional investigators, and compliance officers
  • Former in-house counsel for public companies
  • Compliance and regulatory teams across multiple industries to address general and client-specific regulatory issues
  • Insights from internal investigations on behalf of the company and the Board

Our clients span the range of public and private companies and business sectors

  • Fortune 500 companies
  • Federal and State regulated companies
  • Local, regional, and national financial institutions
  • For-profit and not-for-profit healthcare institutions and vendors

Understanding the regulatory landscape and adapting to client needs

Leverage experience in multiple disciplines to help clients navigate an ever-changing regulatory environment and listen/respond to client needs beyond a particular engagement. 

Our government investigations and white-collar defense team helps you:

  • Assess risks − in connection with ongoing operations, business decisions, audits, acquisitions, and other internal matters involving regulatory and new service offerings and technology platforms
  • Investigate allegations – in a comprehensive, informed, and efficient manner
  • Respond to regulators or other government authorities – formally or informally, through litigation or negotiation
  • Resolve government inquiries – in an efficient, effective, and discreet manner
  • Design procedures, policies, and practices – in a manner consistent with the current regulatory and legal requirements with an understanding of the dynamic nature of these environments
  • Stay compliant − with domestic and international laws governing a multitude of substantive areas

Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Securities, Financial Institutions, and Investment Management

Our team of attorneys have represented financial institutions and individuals involved in the securities and investment management industries in a wide range of criminal and regulatory matters and conducted internal investigations across different industries involving federal, state, and international jurisdictions.  Our most recent experience includes the following representative matters

  • Represented a Fortune 50 bank and investigated allegations of executive misconduct from government agencies and private plaintiffs relating to mortgage-backed securities
  • Represented broker dealers in state, federal, and SRO (FINRA) regulatory inquiries relating to “Ponzi scheme” allegations by their registered representatives
  • Represented financial institutions and their boards and holding companies in inquiries from the FDIC, OCC, OTS, and Federal Reserve regarding various regulatory and operational matters, including allegations of irregular or unsound banking practices
  • Represented a state agency in an investigation relating to allegations of executive misconduct, improper investment practices, and improper accounting practices

Internal Investigations

Our team of attorneys regularly conducts sensitive internal investigations of alleged and potential wrongdoing for public and private companies, their boards and board committees, and general counsels.  We have been effective conducting thorough and efficient investigations of potential wrongdoing that give balance to the protection of the integrity and day-to-day operation of the company’s business plan.  Our most recent representative experience includes the following

  • Conducted privileged investigation of allegations of Sarbanes-Oxley violations for public companies and their boards
  • Conducted privileged investigation of information security breaches and other systems intrusions and insider issues, while representing the organizations affected by those incidents before state attorneys general and federal regulators
  • In addition, our team has investigated allegations of illegal bribes, insider trading, breaches of fiduciary duty, alleged accounting irregularities, fraud, money laundering, network misconduct and theft of trade secrets, violations of government contract regulations, and violations of Foreign Corrupt Practices Act (FCPA)  

Compliance and Internal Control Reviews and Audits

Our attorneys advise and create compliance processes and internal control reviews and audits to help reduce the risk of criminal and regulatory exposure

  • Our team provides ongoing advice on risk reduction strategies, corporate communications, insider trading policies, public and private securities offerings, relationships with independent auditors, whistleblower policies, and compliance with the Foreign Corrupt Practices Act, Sarbanes-Oxley, other securities laws and regulations, and privacy laws and regulations  
  •  Our attorneys work closely with corporate departments in connection with the preparation of their SEC and other regulatory filings, including assisting with the development and evaluation of disclosure controls and procedures, as well as internal controls 

Litigation Defense

Our team has defended a wide range of matters from private litigants and classes to matters before the SEC, DOJ, FTC, FDIC, Financial Industry Regulatory Authority (FINRA), and state securities regulators and attorneys general.  Such matters include insider trading, accounting fraud including revenue recognition and valuation of assets, microcap fraud, disclosure and offering fraud, misuse and misappropriation of client assets, money laundering, and bank fraud.

  • Represented publicly traded company and directors and former directors in securities fraud class action
  • Represented directors and former directors of publicly traded company in derivative litigation brought by shareholders
  • Represented publicly traded community banks in shareholder derivative litigation associated with a merger/acquisition—both on the target and purchaser side

Healthcare

Our team of experienced healthcare litigators and former federal prosecutors, regulators, congressional investigators, and compliance officers understand the investigative process, because many of team members prosecuted and defended health industry cases in the government, and in private practice.

Government Investigations

From high-profile criminal fraud and abuse matters to private, internal corporate compliance issues, our investigative approach is tailored to each client and each set of facts.  Whether the case requires a delicate cooperative interaction with or a voluntary disclosure to regulators—or requires an aggressive litigation stance during a federal or state trial—our team is prepared to vigorously defend our client's interests.

  • These internal inquiries and civil and criminal investigations by federal and state authorities often involve both bet-the-company issues and significant collateral proceedings. Collateral proceedings can include congressional investigations, third-party payor suits, and DHHS OIG regulatory actions
  • Accordingly, to provide multi-disciplinary representation, our Healthcare Government Investigations attorneys work closely with our Government Relations, Litigation, Tort, FDA. and Life Sciences regulatory lawyers

False Claims Act and Whistleblower Practice

Our team of attorneys have successfully handled numerous healthcare and pharmaceutical False Claims Act (FCA) cases, including whistleblower retaliation claims.  Our initial goal in such cases is to persuade the government not to intervene, and we have a record of success in that regard.  A list of our recent representative experience includes the following

  • We are quite comfortable in litigating FCA cases and seek to obtain the most favorable and cost-effective resolution for the client—either through litigation and trial, if necessary, or through an appropriate settlement. Our FCA lawyers also are experienced in negotiating FCA settlements and, when necessary, Corporate Integrity Agreements (CIAs)
  • In addition, we are experienced in managing and dealing with suspected or known whistleblowers and understand the sensitivity and judgment that must be afforded in this area 

Healthcare Litigation

Nelson Mullins healthcare team offers trial lawyers who have litigated cases in state and federal courts, administrative proceedings, arbitration panels, and various appellate forums.  At the same time, our team understands the intricate healthcare payment system—the unique business environment and overlay of regulations and agency oversight that affect the way that healthcare entities operate.

  • Our clients include for-profit and non-profit health care providers; pharmaceutical companies; medical device manufacturers; managed care organizations such as insurers, HMOs, administrators of self-funded plans; pharmacy benefit managers; and accounting firms
  • Our lawyers have litigated myriad disputes on behalf of healthcare entities, including class actions attacking pricing practices, regulatory compliance challenges, managed care disputes, disputes arising from merger-related activity, reimbursement disputes, and challenges to accounting practices  

Healthcare Regulatory and Compliance

Nelson Mullins advises healthcare industry clients on a wide range of regulatory issues, including fraud and abuse compliance, Anti-Kickback and Stark law compliance, HIPAA compliance, 340B drug discount program participation and compliance, conflict of interest disclosure and management processes, and compliance with a variety of licensure, accreditation and certification laws and standards.

  • For those clients operating under Corporate Integrity Agreements or consent orders relating to reimbursement, licensure, or other regulatory standards, we provide guidance on ongoing compliance with their terms  
  • Our regulatory advice clients include health systems; nursing homes; acute care and specialty hospitals; home health agencies; hospices; providers of imaging, clinical laboratory, and other diagnostic services; HMOs and other managed care organizations; health plans; pharmaceutical companies; retail pharmacies; pharmacy benefit management companies, physician organizations, medical device manufacturers; and pharmaceutical manufacturers

Health Information Privacy and Security

Nelson Mullins represents a wide range of health care providers, health plans, and health care products and service companies in HIPAA and other health information privacy and security compliance issues, including as applicable to HIPAA-covered entities, business associates, research organizations, research sponsors, and vendors of health informatics products.  We also advise clients on state privacy laws and identity theft laws that often apply to patient demographic and financial information in the possession of health industry companies.

  • Our team has considerable experience assisting covered entity and business associate clients with HIPAA security rule compliance, which requires a close working relationship between legal counsel and the client's IT staff and/or external IT consultants in order to sort through the details of how particular security measures achieve compliance with the legal requirements  
  • In addition, although some HIPAA security rule requirements are specific, many requirements are quite general, which presents a challenge when implementing specific compliance responses that would be viewed as reasonable and appropriate in an audit by enforcement authorities 
  • Finally, we help clients focus on ensuring that policies and procedures and other compliance measures not only are HIPAA compliant, but also are realistic, practical, and achievable

White Collar Defense

Our team of white-collar lawyers and experienced trial lawyers includes former federal and state prosecutors, SEC and other regulatory leaders, and criminal defense lawyers who have devoted their entire careers to saving the reputations and preserving the liberty of their corporate and individual clients.  Our representative experience includes engagements in the following substantive areas:

  • Income tax evasion and fraud
  • Money laundering
  • Bank and wire fraud
  • Insurance fraud
  • Medicare and Medicaid fraud
  • Securities fraud
  • Insider trading
  • Bid rigging
  • Kickbacks
  • Arms Export Control Act
  • FCPA and Trading With the Enemy Act
  • Hobbs Act
  • Public corruption
  • Payroll tax fraud
  • False statements (Section 1001)
  • Aggravated identity theft
  • Export-import bank fraud
  • Improper accounting practices
  • Off-label drug promotions
  • Average wholesale price (AWP) manipulation
  • FDA regulations 
  • Business opportunity fraud
  • Broker dealer representations in FINRA and other investigation
  • Deep regulatory, prosecutorial, and investigative experience
  • Cases handled by experienced securities litigators, former federal prosecutors, regulators, congressional investigators, and compliance officers. 
  • Experience across a wide spectrum of industries and business models
  • Multi-disciplinary team
  • Practical business mindset
  • Predictability and cost efficiency

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