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Government Investigations and White Collar Criminal Defense

The White Collar Criminal Defense and Government Investigations attorneys at Shipman & Goodwin represent corporations and individuals in connection with a broad range of government investigations, enforcement actions, internal investigations, and white collar criminal litigation.  The team, which includes former government officials, vigorously represents clients in all phases of government investigations, including regulatory examinations and administrative proceedings; grand jury inquiries; litigation; sentencing; and appeals.  With decades of experience navigating the increasingly overlapping criminal and civil enforcement arms, we represent clients before federal and state regulators and officials including the DOJ, the SEC, FINRA, the FTC, the IRS, the FDA, OSHA, NIOSH, the EPA, the CT DEEP, (and other environmental/health and safety agencies in other states), federal and state banking regulators, state attorneys general, and state securities regulators. 

With an eye towards averting charging actions, we work with our clients to conduct discreet but thorough internal investigations, and to develop and implement robust corporate compliance programs.  Because reputation management can be as critical as the investigative outcome, we work with our clients to effectively manage their interests both in and out of the courtroom. 

Our representations span a vast array of substantive areas, including: 

  • Mortgage and Banking Fraud
  • Securities Fraud and Insider Trading
  • Public Corruption
  • Healthcare Fraud
  • International Trade Compliance and Enforcement
  • Higher Education
  • RICO
  • FCPA
  • FTC Investigations
  • National Security, including IEEPA, FISA and Terrorism Financing
  • Pharmaceutical Fraud
  • Accounting Fraud
  • Government and Military Contracts  Fraud / False Claims Act / Qui Tam
  • Antitrust
  • Environmental/Health and Safety Investigations (administrative/civil)
  • States Attorneys General Investigations
  • Environmental Crimes
  • Computer and Data Privacy
  • Tax Fraud / IRS Investigations
  • Marketing Practices
  • Insurance Fraud
  • Misconduct by Professionals, including physicians, lawyers and accountants
  • Consumer Protection

Experience

Criminal Defense Litigation
Conviction Overturned
Dismissal of Perjury Charge
Reversal of Federal Bribery Conviction Before the Second Circuit
Defense of Federal Money-Laundering Charges
Won Sole Acquittal in Wells Fargo Robbery by Puerto Rican Independence Revolutionaries
Government Investigations
Internal Investigation Regarding Potential State and Federal Environmental Violations
Other
Government Investigation
Public Corruption Prosecutions and Investigations
Investigations of Marketing Practices
Government Contracts
Securities Lawsuit
Enron Corporation Securities Class Actions and Common Law Claims
$365 Million Judgment in Breach of Contract Trial
Pro Bono Representation
Investigations of Subprime Mortgage Issues
Federal Trade Commission Civil Action
Negotiation of settlement on behalf of universities and colleges under investigation
Allegations of fraud
Accusation of improperly distributing medication over the internet
Case of First Impression of Governor's Attorney-Client Privilege
Subprime Mortgage Fraud
Criminal and Regulatory Investigation
Enforcement of the Connecticut Antitrust Act
Investigations of Medical Treatment Guidelines
Health Care Fraud Case
Accusations of billing improprieties
False Claims Act Case
International Trade and FCPA Investigations
False Claims Act Cases Against Multi-National Military Contractor
Recovery of over $61 Million of Fraud and Abuse Claims
Insider Trading Investigations
Allegations of improper compensation
Criminal and Regulatory Investigations
Antitrust Investigations and Litigation
Regulatory Matters
Hedge Fund regulatory inquiries
International Emergency Economic Powers Act Criminal Case
National Settlement of Allegations of Steering
Defense of Quasi-Public Agencies in Federal RICO Action
Medicaid Managed Care Litigation
Allegations of improprieties on public works project
117-Count, Multi-Defendant RICO and Tax Fraud
Criminal Immigration Case
Allegations of improper endorsements of vendors

Publications

January 9, 2015  U.S. Companies Must Temper Expectations for Changing Cuba Policies
July 10, 2014  Enforcement Likely to Rise Following Implementation of Export Reform
January 23, 2014  Compliance Tips for Entering the Turkish Market
December 4, 2013  Imminent Changes to the U.S. Munitions and Commerce Control Lists Require Attention
December 4, 2013  Weatherford International Agrees to Pay $253 Million to Settle Alleged Violations of Export Controls Regulations
December 4, 2013  OFAC Fines Alabama Financial Institution $19,125 for Violating the Sudanese Sanctions Regulations
October 2, 2013  Aerospace Manufacturers: Imminent Changes to the U.S. Munitions and Commerce Control Lists Require Attention
September 17, 2013  State Department's Back-To-Back Multi-Million Dollar Settlements Emphasize Liabilities for Improper Export Jurisdiction Determinations
September 13, 2013  Illegal Arms Export Scheme Implicates American Law Enforcement Officers
July 10, 2013  Chinese Regulators and Law Enforcement Officials Expand Oversight of Foreign Companies and Personnel
January 20, 2012  Connecticut Hedge Funds Targeted In Insider Trading Probes
September/October 2010  Honest Services
September/October 2009  Gathering Defense Evidence Abroad
July 10, 2009  U.S. Employers Face Crackdown for Unauthorized Workers
July 13, 2007  Truth Hard To Find When Investigating Political Corruption
February 9, 2007  Immigration and Customs Enforcement Measures Require Swift Action by Employers
1996  Nuclear Weapons and the Laws of War

News

August 26, 2018  Jim Bergenn Discusses Cohen, Manafort and Trump on FOX 61 News
August 26, 2018  Jim Bergenn Weighs in on Cohen, Manafort and Trump on FOX 61 News
August 23, 2018  Jim Bergenn Discusses Cohen & Manafort's Legal Developments on Mornings With Ray Dunaway
August 15, 2018  "Best Lawyers in America" Recognizes 43 Firm Attorneys
December 19, 2017  Jim Bergenn Offers Insight to FOX 61 News on Dabate Wrongful Death Suit
December 1, 2017  Jim Bergenn Discusses Michael Flynn's Guilty Plea on FOX 61 News
November 1, 2017  Shipman & Goodwin Ranked Among 2018 "Best Law Firms"
August 15, 2017  "Best Lawyers in America" Recognizes 43 Firm Attorneys
June 5, 2017  International Trade Attorneys Featured in U.S. Dept. of Commerce Webinar Series
January 8, 2017  Jim Bergenn Discusses Reinstatement of Skakel conviction on FOX 61's "The Real Story"
November 1, 2016  Shipman & Goodwin Ranked Among 2017 "Best Law Firms"
October 18, 2016  CT Attorneys Recognized as 2016 Super Lawyers
August 15, 2016  "Best Lawyers in America" Recognizes 39 Firm Attorneys
July 10, 2016  Jim Bergenn Featured Guest on FOX 61 Program "The Real Story"
November 2, 2015  Shipman & Goodwin Ranked Among 2016 "Best Law Firms"
October 19, 2015  CT Attorneys Recognized as 2015 Super Lawyers
November 3, 2014  Shipman & Goodwin Ranked Among 2015 "Best Law Firms"
September 17, 2014  Jim Bergenn Discusses the John Rowland Case on WNPR
September 3, 2014  Jim Bergenn Responds to John Rowland Trial on NBC 30
November 1, 2013  Shipman & Goodwin Ranked Among 2014 "Best Law Firms"
February 6, 2013  Attorneys & Firm Recognized by "Benchmark Litigation"
November 1, 2012  Firm Ranked Among 2013 "Best Law Firms"
February 23, 2011  Shipman & Goodwin Receives Award from U.S. Department of Commerce
June 27, 2010  Stan Simpson Show: Perez Verdict
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