Internal Investigations & White Collar Defense Practice Group

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1 Internal Investigations & White Collar Defense Practice Group Decades of white collar defense, prosecution, and in-house experience Effective internal investigations Seasoned risk assessment Insights into high-level law enforcement decision making essential to pursuing an informed defense strategy Sure-handed representation in and out of the courtroom and the boardroom

2 Internal Investigations & White Collar Defense Group Pictured left to right, front row: Mehreen Zaman, John Joseph, Barbara Rowland, Matthew Newcomer Pictured left to right, back row: Carolyn Kendall, Ronald Levine, Peter Hardy, Yune Do, Abraham Rein Managing internal and government investigations, responding to subpoenas and search warrants, dealing with the government, and trying complex cases require substance, experience, and presence. With decades of white collar defense, prosecution, and in-house experience, Post & Schell s Internal Investigations & White Collar Defense Group provides corporate clients and senior executives with effective internal investigations, seasoned risk assessment, insights into high-level law enforcement decision-making essential to pursuing an informed defense strategy, and sure-handed representation in and out of the courtroom and the boardroom. Based in Philadelphia and Washington, D.C., the Group represents individuals and companies located throughout the United States and abroad. The Group focuses on criminal and civil fraud and corruption investigations involving the False Claims Act, health care, tax offenses, energy, federal procurement, financial and securities violations, the Foreign Corrupt Practices Act (FCPA), public corruption, cyber crime, and environmental violations, among others. The Group is led by five Principals, including former federal prosecutors from the U.S. Attorney s Office for the Eastern District of Pennsylvania and the U.S. Department of Justice.

3 What We Do: We conduct internal investigations, structure defenses, and interact with the enforcement community. We defend corporate enterprises and officers, directors, managers and employees, nationwide, in criminal, civil and administrative matters, at the federal, state and local levels. Specifically, we: Conduct internal investigations to assess compliance issues and determine whether questionable conduct has occurred, providing a complete factual, legal and risk analysis. Defend enterprises, corporations and persons who are subjects, targets or witnesses in government investigations, including False Claims Act and qui tam investigations, and related civil or administrative litigation. Track and respond rapidly to all stages of an investigation (ranging from subpoena compliance and grand jury practice to the execution of search warrants or the unsealing of criminal indictments and civil fraud complaints). Avoid or mitigate enforcement action by working with clients to fashion and implement compliance measures which conform to agency guidance and the federal Organizational Sentencing Guidelines. Evaluate the need for and, where appropriate, negotiate voluntary disclosure to relevant government agencies. Negotiate corporate integrity agreements, and monitor corporate compliance moving forward. Defend collateral civil proceedings such as suspensions, debarments or exclusions or civil lawsuits in which fraud is alleged. Defend enterprises, corporations, officers and directors at criminal or civil trial and/or on appeal. Counsel and defend on matters including alleged health care, securities, tax, insurance, mail, wire and financial institution fraud, plus matters concerning regulatory compliance, FCPA, government contracting and reimbursement, immigration, internal theft, public corruption, computer security, and identity theft.

4 Leadership The Group is spearheaded by seasoned Principal attorneys, with decades of government, industry, and private practice experience. Ronald H. Levine, Principal & Group Chair Former Chief of the Criminal Division of the U.S. Attorney s Office in Philadelphia, Ron s practice focuses on internal investigations and parallel criminal, civil or administrative matters concerning alleged fraud and corruption, with a particular emphasis on matters involving the FCPA, the False Claims Act, federal securities laws, business malfeasance, and the pharmaceutical, medical device, and energy industries. Appointed to the U.S. Sentencing Commission Practitioner Advisory Group and an editorial board member of the Business Crimes Bulletin, Ron has successfully counseled and defended corporations, as well as directors, executives, employees and professionals, at all stages of the government enforcement cycle: pre-enforcement internal investigations and compliance/governance counseling; responding to government inquiries, audits, subpoenas, search warrants and investigations; and trials and appeals, be they administrative, civil, qui tam or criminal. John N. Joseph, Principal Former Deputy Chief of the Civil Division responsible for all affirmative civil enforcement matters at the U.S. Attorney s Office in Philadelphia and Trial Attorney for the Department of Justice Civil Fraud Section, John focuses his practice on criminal and civil investigations involving the False Claims Act and other federal and state laws applicable to health care providers and government contractors, as well as other complex criminal and civil litigation matters. John has successfully represented clients in diverse cases ranging from off-label marketing and health care fraud to RICO violations, commercial civil litigation and environmental non-compliance. As part of these engagements, he collaborates proactively with clients in conducting internal investigations to identify and develop options for reducing or resolving exposures.

5 Barbara Rowland, Principal For over 20 years, Barbara has managed and resolved white collar government and internal investigations from the vantage points of prosecutor, defense counsel, and in-house counsel for two major corporations. She is a former Assistant U.S. Attorney from the Philadelphia U.S. Attorney s Office and, more recently, she served as Vice President of Litigation for CVS Health and as Assistant Counsel for Merck & Co., Inc. Previously, as a defense lawyer in private practice in Washington, D.C., she also represented corporations and their executives in criminal and civil government investigations of the health care and aerospace industries. Barbara currently focuses her practice on criminal and civil investigations involving the False Claims Act, the Food, Drug and Cosmetics Act, the Controlled Substances Act, and other federal and state laws applicable to health care providers and government contractors. In addition, she negotiates with federal agencies with respect to program exclusion or suspension and debarment actions and provides compliance program counseling. Peter D. Hardy, Principal A former Trial Attorney for the Department of Justice Tax Division in Washington, D.C. and Assistant U.S. Attorney in Philadelphia, Peter focuses on tax offenses, securities laws violations, financial institution reporting requirements, and other complex white collar investigations. He is the author of the comprehensive and well-reviewed criminal law treatise Criminal Tax, Money Laundering, and Bank Secrecy Act Litigation (Bloomberg BNA), and is a member of the American College of Tax Counsel. Peter has focused legal knowledge and experience in tax fraud, voluntary disclosures to the IRS, financial institution crime, money laundering, mortgage fraud, securities fraud, health care fraud, and identity theft. He also co-founded and serves as Co-Chair of Post & Schell s Data Protection/Breach Practice Group, which works with clients to prevent or minimize data security breaches before they happen, and assists clients in responding to such breaches if they do occur. Matthew T. Newcomer, Principal Matt s practice focuses on conducting internal investigations and counseling and defending corporations, including multinational pharmaceutical and medical device companies, on exposures concerning off-label sales and marketing practices, the Anti-Kickback Statute, the Responsible Corporate Officer or Park doctrine, the federal False Claims Act and federal and state RICO statutes. He also advises both individuals and businesses in matters involving allegations of financial services, securities and government contracting fraud.

6 Depth of Experience Yune T. Do, Associate Yune represents boards, management and employees regarding government investigations and assists in the defense of clients in related litigation and at trial. Along with Principal John Joseph, Yune was part of the team that secured an acquittal in a multi-defendant, sixmonth RICO trial involving securities fraud, mail fraud, wire fraud and money laundering. Carolyn H. Kendall, Associate Carolyn focuses on matters involving financial fraud and compliance. Her matters include potential tax, structuring, and money laundering violations, as well as allegations involving securities violations, mortgage fraud, lending law violations, and other fraud and regulatory statutes. She also assists clients in offshore account disclosure and compliance via IRS disclosure programs (OVDP and Streamlined Procedures). Carolyn is the co-author of the 2014 Cumulative Supplement to the treatise Criminal Tax, Money Laundering, and Bank Secrecy Act Litigation (Bloomberg BNA).

7 Abraham J. Rein, Associate A former co-founder and managing partner of a web development firm, Abe brings a keen understanding of technology and the internet to his practice. This encompasses expertise in the area of electronic discovery, with which he has extensive hands-on experience and about which he writes and speaks, as well as other law-and-technology topics, such as cybersecurity and the applicability of constitutional rights in a digital era. Abe has defended clients in sectors including defense contracting, utilities, construction, not-for-profit, transportation, securities, hospitality and health care. Along with Group Chair Ron Levine, Abe was part of the team that won the groundbreaking Facebook speech case, United States v. Elonis, in the Supreme Court of the United States. Mehreen Zaman, Associate Mehreen s practice includes matters involving pharmaceutical, manufacturing, and financial companies, relating to False Claims Act violations, as well as allegations involving the FCPA, the Federal Anti-Kickback Statute, and environmental, securities, and other fraud and regulatory statutes. She also draws upon her significant experience in employment law to help counsel companies about the intersection of white collar and employment law issues.

8 Internal Investigations & White Collar Defense Practice Group Contact Us: Ronald H. Levine, Principal & Group Chair (215) Peter D. Hardy, Principal (215) John N. Joseph, Principal (215) Matthew T. Newcomer, Principal (215) Barbara Rowland, Principal (202) Yune T. Do, Associate (215) Carolyn H. Kendall, Associate (215) Abraham J. Rein, Associate (215) Mehreen Zaman, Associate (215)

9 Industries We Represent: Enterprises, corporations and individuals in a broad spectrum of industries, including: Health Care Institutional health care providers (hospitals, health systems) Pharmaceutical manufacturers Medical device manufacturers Retail pharmacies and Pharmacy Benefit Management (PBM) Individual physicians and health care providers Publicly Traded and Multi-National Corporations Companies subject to Sarbanes-Oxley Act, Dodd-Frank and Foreign Corrupt Practice Act (FCPA) Brokerage firms and securities dealers subject to Securities and Exchange Commission (SEC) regulation Government Contractors Space and military contractors Financial Institutions Regional and national banks Mortgage lenders Insurance companies Investment banks Hedge funds Realtors, appraisers, and title companies Utilities, Energy and Environmental Contractors Public utilities, transmission providers, pipelines, and others regulated by state utility commissions and the Federal Energy Regulatory Commission (FERC) Educational institutions with federal funding Manufacturers and electronics companies Food Construction Hospitality National and local owners/operators, management groups and developers of hotels, motels and resorts National chains and individual owners of bar and restaurants, management groups, and franchisees National, regional and local providers of food services and facilities management Internal Investigations & White Collar Defense Group

10 Representative Cases: FALSE CLAIMS ACT CASES Major pharmaceutical company in federal criminal grand jury and civil False Claims Act investigations of alleged off-label marketing and kickbacks. Result: Global criminal and civil settlement in amount several multiples below that of comparable cases. Dismissal of four qui tam complaints. Major pharmaceutical/medical device company in False Claims Act investigation of alleged kickbacks. Result: Government declination. Major hospital system under investigation for organ transplant-related billing violations. Result: Government declination. Multi-national medical device manufacturer under False Claims Act investigation for kickback and price reporting violations. Result: Government declination. Two major hospital systems under investigation for one-day stay billing violations. Result: For one, a rare settlement under the standard double damages amount with no corporate integrity agreement; for other, declination. Researcher under investigation for criminal False Claims Act violations regarding a complex contract with the government. Result: Government declination. Internal investigation and self-disclosure of hospice billing issue for potential False Claims Act violations. Result: No payment due. Health care system s contract practices under scrutiny for False Claims Act violations. Internal investigation results in self-disclosure to the fiscal intermediary. Result: No federal criminal or civil prosecution. Internal Investigations & White Collar Defense Group

11 Representative Cases: TAX AND SECURITIES MATTERS Owner/executive of major construction company charged with tax and immigration-related crimes. Result: Probation. Multi-national electronics corporation targeted in a federal tax fraud investigation. Result: Global criminal and civil settlement with stipulated lower financial penalty. No prosecution of any individuals. Investment firm under investigation by the SEC for inter-fund loans involving alleged conflicts of interest, and related constitutional litigation regarding the ability of the SEC to pursue administrative enforcement actions. Result: Settlement involving a suspension but no industry bar. Investment firm under investigation by SEC for alleged insider trading in securities. Result: Government declination. Physician group under federal investigation for alleged tax and insurance fraud crimes. Result: Government declination. Individual investor under investigation by Department of Justice for alleged insider trading in securities. Result: Government declination. Owner of restaurant chain charged with bank fraud and $15 million tax fraud. Result: 15-month prison sentence, well below sentence sought by government. Individuals with undisclosed offshore bank accounts make voluntary disclosures to Internal Revenue Service (IRS.) Result: Disclosures accepted and civil closing agreements reached with IRS. Medical billing processing company sued by major financial institution for alleged data breach. Result: Federal complaint dismissed in its entirety, with dismissal upheld on appeal. In-house counsel for major financial institution embroiled in Bank Secrecy Act investigation. Internal Investigations & White Collar Defense Group

12 Representative Cases: PHARMACEUTICAL, MEDICAL DEVICE, AND HEALTH CARE PROVIDERS Global Head of Quality Assurance for a major pharmaceutical company in federal criminal grand jury investigation of alleged Current Good Manufacturing Practice (cgmp) violations and responsible corporate officer exposure. Result: Prosecution declined. Former CEO and Chairman of the Board of large medical device company in federal criminal grand jury investigation of alleged kickbacks. Result: Prosecution declined. Director of Sales for major pharmaceutical company in federal criminal grand jury and civil false claims investigations of alleged off-label marketing and kickbacks. Result: Prosecution declined. Product Director, later Vice President of Marketing, for major pharmaceutical company in federal criminal grand jury and civil false claims investigations of alleged off-label marketing and kickbacks. Result: Prosecution declined. Medical Director for major pharmaceutical company in federal criminal grand jury and civil false claims investigations of alleged off-label marketing and kickbacks. Result: Prosecution declined. Privately held medical device/equipment company and its CEO in federal criminal grand jury and civil false claims investigations of alleged billing fraud. Result: Prosecution declined; negotiated civil settlement and CIA. Director of Marketing of major medical device company in federal criminal grand jury and civil false claims investigations of alleged kickbacks. Result: Prosecution declined. Physician targeted in federal criminal investigation for billing practices. Result: Criminal declination. Low civil settlement. Internal Investigations & White Collar Defense Group

13 Representative Cases: FRAUD, FCPA, AND OTHER CASES Multi-national advertising corporation embroiled in a federal corruption/fraud investigation. Result: Criminal declination. No civil exposure. High-ranking executives of multi-national oil corporation and multi-national engineering corporation embroiled in FCPA investigations. Result: No criminal or civil sanctions. Large multi-national food company investigated by a grand jury for environmental false statements pursuant to EPA inspection. Result: Criminal declination. National health system sued for fraud by physicians in connection with a multi-million dollar joint venture ambulatory surgery center. Result: Summary judgment granted by trial court; affrmed on appeal. Multi-national pharmaceutical corporation suspects employee misconduct. Result: Internal investigation uncovers sales person self-dealing. Internal corrective action taken. High-ranking executive for a collapsed insurance company targeted for insurance fraud due to regulatory filings. Result: Criminal declination. County official federally charged in 47-page racketeering (RICO)/fraud indictment. Result: Plea agreement to a misdemeanor tax charge; $250 fine and probation. Young adult charged in felony computer hacking conspiracy with worldwide publicity. Result: Plea agreement to misdemeanor computer charge. Probation. Major pharmaceutical company requests internal investigation of multiple employees regarding marketing practices. Result: Reports issued to company for appropriate corrective action. Political consultant subject to criminal corruption investigation. Result: Immunity granted. Internal Investigations & White Collar Defense Group

14 COMPLIANCE CONSULTING/TRAINING Compliance advice and training for multi-national medical device company, including presentations to its Board of Directors and training of its international sales force and distributors regarding advisory boards, speaker programs, off-label reprints, and off-label promotion. Compliance advice to publicly traded medical device company prior to product launch on manufacturing and sales projections, and off-label implications. Compliance advice to multi-national medical device company on fair market valuation and consulting contracts with surgeons-consultants. Compliance advice to national medical device manufacturer on bundling of items and free items and Anti-Kickback Statute. Compliance advice to national medical device manufacturer on web sites and off-label promotion. Negotiated corporate integrity agreement with agency inspector general and review of annual report submissions to agency by privately held, regional medical device/equipment company. Compliance consulting, employee training and/or board retreats for various health care and hospital systems and a durable medical equipment company. Internal Investigations & White Collar Defense Group

15 Offices: Philadelphia Four Penn Center 1600 John F. Kennedy Blvd. Philadelphia, PA Phone: (215) About Post & Schell, P.C. Post & Schell, P.C. is committed to legal excellence. We provide sophisticated legal services and strategic counseling to highly regulated industries and their directors, officers, and stakeholders regionally, nationally and internationally. Washington, D.C th Street NW Suite 600 Washington, D.C Phone: (202) Harrisburg 17 North Second Street, 12th Floor Harrisburg, PA Phone: (717) Our practice groups focus on a variety of industries including: banking and financial services; commercial transportation; commercial construction; energy & utilities; health care; hospitality; information technology; insurance; manufacturing; medical device; pharmacies and distributors; pharmaceutical; and professional services. Post & Schell attorneys possess extensive experience complementing industry internal legal teams and take pride in closely collaborating with them. With offices in Washington, D.C., Princeton, New Jersey, and Pennsylvania offices in Philadelphia, Pittsburgh, Harrisburg, Lancaster, and Allentown, our attorneys represent clients regardless of geographic market. Pittsburgh One Oxford Centre 301 Grant Street, Suite 4300 Pittsburgh, PA Phone: (412) Allentown 1245 South Cedar Crest Boulevard Suite 300 Allentown, PA Phone: (610) Lancaster 1869 Charter Lane P.O. Box Lancaster, PA Phone: (717) Princeton Overlook Center 100 Overlook Drive Princeton, NJ Phone: (609)

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