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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 28, 2014  Year Of The Sting: Criminal Export Enforcement In 2013
January 23, 2014  Compliance Tips for Entering the Turkish Market
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
December 4, 2013  Imminent Changes to the U.S. Munitions and Commerce Control Lists Require Attention
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 23, 2012  Feds Targeting White Collar Crime
January 20, 2012  Connecticut Hedge Funds Targeted In Insider Trading Probes
May 1, 2011  Privilege In Jeopardy
September 15, 2010  Commentary: Public Corruption Prosecutions After Skilling
September/October 2010  Honest Services
September/October 2009  Gathering Defense Evidence Abroad
July 10, 2009  U.S. Employers Face Crackdown for Unauthorized Workers
2008  Ethical Standards in the Public Sector
December 17, 2007  Internal Investigations
July 16, 2007  Feel the Chill: ICE Targets Employers for Immigration Violations
July 13, 2007  Truth Hard To Find When Investigating Political Corruption
April 2007  Ignorance That Isn't Bliss
February 9, 2007  Immigration and Customs Enforcement Measures Require Swift Action by Employers
Summer 2005  A Privileged Relationship? Public Lawyers, Take Heed
1996  Nuclear Weapons and the Laws of War

News

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 LLP 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"
October 2, 2014  NFL Investigations Call for Caution, Garber Tells AP
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
January 31, 2014  Criminal Export Enforcement Article Published by Law360
January 13, 2014  Roundtable to Feature UK Aerospace Market
November 1, 2013  Shipman & Goodwin Ranked Among 2014 "Best Law Firms"
October 23, 2013  Garber Moderator at Nat'l White Collar Defense Seminar
February 6, 2013  Attorneys & Firm Recognized by "Benchmark Litigation"
November 1, 2012  Firm Ranked Among 2013 "Best Law Firms"
July 8, 2012  International Trade Attorney Joins Firm
January 23, 2012  Ross Garber quoted in CT Law Tribune article, "Feds Targeting White Collar Crime."
February 23, 2011  Shipman & Goodwin Receives Award from U.S. Department of Commerce
June 27, 2010  Stan Simpson Show: Perez Verdict

Events

June 15, 2017  Foreign Corrupt Practices Act: What Every Company Doing Business Abroad Needs to Know - Two Views on Corruption (FCPA)
May 26, 2016  The Enforcement Maze: Over-Criminalizing American Enterprise
October 21-24, 2015  NACDL 11th Annual Defending the White Collar Case Seminar
September 3, 2015  IBA Regional Transnational Crime Conference
June 17-19  5th Annual West Coast White Collar Conference
June 5, 2015  Garber Speaks at National Conference on Reporters Protecting Themselves & Their Sources
May 27-29  24th Annual National Seminar on the Federal Sentencing Guidelines
June 26-29, 2014  IRE: Investigating powerful institutions, inside & out
April 2, 2014  Alternative resolutions to criminal matters – DPAs, NPAs, and other resolutions – are they a blessing or a curse?
March 19-22, 2014  Third Annual White Collar Criminal Defense College at Stetson
February 13, 2014  Webinar: The Foreign Corrupt Practices Act (FCPA) Briefing
January 16, 2014  Roundtable - Supply Chain Opportunities in the UK Aerospace Market
October 24-25, 2013  NACDL 9th Annual Defending the White Collar Case Seminar
March 15, 2013  American Criminal Law Review 50th Anniversary Symposium
January 17, 2013  FCPA: What Every Company Doing Business Abroad Needs To Know
November 15-16, 2012  8th Annual White Collar Crime Seminar
October 5, 2012  Second Annual White Collar Criminal Defense College at Stetson
March 8, 2012  The 2012 Connecticut Conference on White Collar Criminal Defense and Government Investigations
February 3, 2012  ITAR & EAR: Understanding and Complying with US Export Controls
August 11, 2011  Insider Trading: Current Trends and Compliance Overview
April 28, 2011  Tele-Briefing: Latest Enforcement And Reform Developments Of The Foreign Corrupt Practices Act (FCPA)
December 3, 2010  Webinar: Foreign Corrupt Practices Act (FCPA) Briefing
November 3, 2010  Foreign Corrupt Practices Act (FCPA) Briefing: What Every Company Doing Business Abroad Needs to Know
October 8, 2010  2010 District of Connecticut Bench-Bar Conference
September 30, 2010  Where Do We Go From Here? Honest Services Fraud and Public Corruption
April 15, 2010  The Integrity of Public Service
March 24, 2010  Fraud Awareness and Prevention in The Legal Community
October 23, 2009  Prosecutorial Overreaching? Implications for our Legal System
October 20, 2009  Covering Investigations
September 17, 2009  Foreign Evidence: Collecting It and Protecting It
August 19, 2009  Testimonial Traps: Defense Strategies for Invoking the 5th Amendment in Civil Cases, Investigations and Other Proceedings
June 8, 2009  Handling Investigations by the Attorney General
April 16, 2009  What You Should Know About Federal Court Practice and Procedure
April 3, 2009  The Media's Role in Public Corruption Cases
February 19, 2009  International Payments: Risk and Fraud
February 13, 2009  Handling Investigations By State Attorneys General
January 27, 2009  Understanding US Export Controls: The Basics
November 7, 2008  Raising the Bar: A Bench Bar Symposium on Professionalism in the Judicial District of Hartford
October 16, 2008  Organized Crime: The Impact of Corruption and Terrorism on the Rule of Law and Public/Private Business
May 2008  Internal Investigations Training
March 1, 2008  2008 Criminal Litigation Seminar: Confessions and Their Suppression
August 3, 2006  Deferred Prosecution Agreements
May 5, 2006  Talking to the Government: When, Why and How to Proffer
April 10, 2006  Government Investigations and White Collar Criminal Defence
March 10, 2006  Attorney-Client Privilege in Corporate Investigations
February 25, 2006  International Civil Litigation and the USA Including White Collar Criminal Issues
February 25, 2006  White Collar Criminal Issues
December 16, 2005  Everyday Ethics for Government Attorneys
December 7, 2005  Governmental Ethics Laws
October 14, 2005  Freedom of Information Laws
October 4, 2005  Fraud Examinations
June 16, 2005  Class Actions
May 4, 2005  Political Lawyering: A Discussion with a Former Whitewater Independent Counsel, a Former Special Counsel to President Clinton and a Former Counsel to the Office of the Governor of Connecticut
March 24, 2005  Minorities on the Bench
March 3, 2005  White Collar Crime
2005  Deposition Practices
November 10, 2004  Young Lawyers
September 28, 2004  Crisis Management for the Business Lawyer
September 10, 2004  Crisis Management for Governors' Legal Counsel
March 18, 2004  Technology for the Criminal Defense Attorney
May 9, 2003  Negotiating Tactics- Using a Study of Settlements
  Connecticut Trial Advocacy
February 25-March 3, 2006  White Collar Criminal Issues
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