Corporate Compliance & White Collar Criminal Defense

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1 Corporate Compliance & White Collar Criminal Defense Overview Individuals and businesses (including corporate management and directors) are facing intense scrutiny by U.S. and overseas law enforcement agencies. With unparalleled cooperation among national and multinational enforcement authorities, investigators are not just looking for civil fines, penalties or disgorgement they seek criminal charges and jail time for culpable individuals. Jackie M. Bennett Jr. (317) Taft s Corporate Compliance and White Collar Criminal Defense practice is unique among Midwest law firms due to its depth of experience and ability to offer topnotch legal services at fair rates. Depth of Experience Taft s Corporate Compliance and White Collar Criminal Defense practice has a depth of experience that is unique among Midwest law firms. Co-chaired by Ralph Kohnen, a former Criminal Chief for the U.S. Attorney s Office for the Southern District of Ohio, and Jackie Bennett, a former federal prosecutor with the distinction of having served in the Office of Independent Counsel Kenneth Starr, the practice includes former federal and state prosecutors, former members of the Judge Advocate General (JAG) Corps and trial-tested attorneys with extensive experience litigating complex high-stakes cases. In the past few years alone, Taft attorneys have represented clients in enforcement actions and investigations pending before the U.S. Department of Justice (including the Tax Division and Antitrust Section), Securities and Exchange Commission, Federal Trade Commission, Federal Drug Administration, Drug Enforcement Agency, Environmental Protection Agency, Department of Defense, Ohio Attorney General (including the OAG Antitrust Section), Ohio Department of Transportation, Ohio Charles A. Bowers (216) cbowers@taftlaw.com Ralph W. Kohnen (513) kohnen@taftlaw.com

2 Ethics Commission and numerous other enforcement agencies throughout Ohio, Indiana, Illinois and Kentucky. Taft s White Collar Criminal Defense team has an arsenal of resources within Taft to supplement and strengthen its criminal defense expertise. We can tap into the strengths of top-notch attorneys with significant experience in areas such as antitrust, environmental law, healthcare, securities litigation and tax. As a result, we have formidable, hands-on experience representing clients in a wide variety of matters, including: Antitrust. Tax. EPA. Government Procurement and Contracting. Sarbanes-Oxley Act of 2002 ( SOX ). Health Care Fraud. Federal False Claims Act Qui Tam Actions. Anti-Kickback Statutes (Medicare and Medicaid Fraud and Abuse). Foreign Corrupt Practices Act ( FCPA ). Wire Fraud and Racketeering Defense. Ethics and Elections. Whistleblower Actions. Taft Attorneys are Proactive Trent J. Sandifur (317) tsandifur@taftlaw.com David H. Thomas (614) dthomas@taftlaw.com Our attorneys counsel clients with strategies designed to minimize exposure by identifying risk areas. We formulate timely strategic decisions with our clients. We alert clients concerning warning signs exhibited by disgruntled or former partners or employees and from competitors who might approach law enforcement, leading to a potential criminal investigation. We uncover signs that indicate a white collar criminal investigation might be underway. We proactively guide clients by working with them to develop and implement corporate compliance and ethics programs that are designed to avoid future investigations and prosecutions. In conjunction with these programs, we conduct

3 training, perform audits and reviews and, when a possible violation is detected here or abroad, conduct internal investigations to detect potential violations, evaluate risk and formulate options. Taft Attorneys are Vigorous Advocates We are relentless in the defense of our clients and we capitalize on our strong reputation and in-depth knowledge of the process to get results. Some of our best work takes place early in the investigative process, well before decisions are made by authorities about whether to prosecute or take other punitive action. We protect the big picture for our clients. We are formidable in our approach yet often proceed quietly to protect people and brands, lessening any negative consequences to a client's personal reputation and ongoing business operations. Our attorneys are experienced in negotiating non-prosecution, deferred prosecution and plea agreements when necessary. We know the arguments that resonate best with area judges and juries. We understand the intricacies of the Federal Sentencing Guidelines and are experts at navigating the guidelines to the benefit of our clients. We also have significant experience dealing with the numerous state and federal entities involved in criminal enforcement, including the SEC, EPA, DEA and State Attorneys General and Inspector General offices. Taft Attorneys are Seasoned Trial Attorneys We are seasoned trial attorneys skilled at evaluating and preparing a case for trial, including through the use of: Computer forensics experts. Trial and jury consultants. Mock trials. e-discovery use in federal courts. Crisis communications experts. Expert witnesses and focus groups. We also have substantial experience obtaining insurance coverage to offset costs

4 of defense and in navigating the collateral consequences of a criminal investigation and prosecution, shareholder derivate suits and class actions and increasingly common qui tam actions. Taft Attorneys Achieve Results Highly experienced, Taft attorneys have achieved notable successes in several high profile enforcement actions. U.S. v. Daryl Haynor and Jon Flask In January 2013, Taft attorneys represented Daryl Haynor, a Senior Partner with KPMG, in a five-week criminal jury trial in U.S. District Court, defending an indictment brought by the U.S. Department of Justice, Tax Division. The Tax Division alleged that Mr. Haynor and others convinced several Fortune 500 companies to take inappropriate tax deductions (amounting to tens of millions of dollars) via sale/leaseback transactions. The prosecution was part of a broadranging federal investigation and prosecution of numerous persons associate with KPMG in connection with advice about and structuring of tax shelters for corporate clients. A number of the targets of that investigation pled guilty or were convicted and are serving prison sentences. Mr. Haynor was acquitted of all charges against him after the trial was concluded. U.S. v. United Water et. al. In late 2012, Taft attorneys represented the project manager of a Gary, Ind., wastewater treatment facility who, along with co-defendants, was facing 26 counts of conspiracy and violations of the Clean Water Act. The government, represented by the Justice Department s Environmental Crimes Section in Washington, D.C. and the U.S. Attorney s Office in the Northern District of Indiana, alleged that the client and others had tampered with required E.coli monitoring procedures when they adjusted the feed rate of chlorine disinfectant prior to sampling. However, the defendants were able to prove that the Environmental Protection Agency had been notified of the sampling procedures several years earlier and had made no objections, that all times chlorine levels were more than sufficient to effectively treat the water, and that the practice of varying dosing levels did not result in any

5 negative impact to the environment. At the conclusion of a two-week jury trial in federal court in Hammond, Ind., the jury returned verdicts of not guilty for all defendants on all charges. U.S. v. George Lang In 2011, Taft attorneys represented George Lang, a Butler County businessman and elected township trustee who was charged with perjury in a long-standing federal investigation of county government corruption. While the government had years to prepare its case, the defense team had essentially three months to prepare between the return of the indictment and the start of the trial. Following a 10-day jury trial, Mr. Lang was acquitted of all charges. United States v. Michael E. Peppel Beginning in 2010, Taft attorneys represented Michael E. Peppel, the former CEO of a publicly-traded technology company in Dayton, Ohio, in his defense of a federal criminal indictment charging Peppel and the company s Chief Financial Officer with fraud, self-dealing, Sarbanes-Oxley offenses, false reporting and improper recognition of revenue and other charges brought by the Securities Exchange Commission and the Office of the U.S. Attorney for the Southern District of Ohio. Despite the nearly limitless resources the federal government devoted to this prosecution, Taft attorneys were able to obtain for their client a sentence of imprisonment that was roughly 25% of that called for by application of the U.S. sentencing guidelines. Federal Criminal Tax Investigations Taft attorneys currently represent several individuals, including a well-known Dayton, Ohio Certified Public Accountant and his firm and a Cleveland-based ticket broker, in investigations being conducted by the Criminal Investigation Division of the Internal Revenue Service. These investigations are focused on suspected federal income tax evasion, money laundering and structuring of financial transactions offenses by financial institutions and other businesses as well as by individuals.

6 Federal Public Corruption Investigations Taft attorneys currently represent a number of professionals and business people identified as "subjects" in a series of public corruption investigations led by a Strike Force formed by the FBI and the U.S. Attorney for the Northern District of Ohio. These investigations, which have utilized wire-taps and other forms of electronic surveillance, have led to federal criminal charges against more than 40 Greater Cleveland people and businesses to date. Other Team Recognitions Ralph W. Kohnen Group Co-Chair Formerly with the United States Attorney s Office for the Southern District of Ohio. Former Federal Prosecutor. Member of the Ohio Federal Judicial Selection Commission. Honored by Best Lawyers in America (White Collar Criminal Defense). Jackie M. Bennett, Jr. Group Co-Chair Former Federal Prosecutor in the U.S. Attorney s Office in Indianapolis, Ind., and in the Justice Department s Public Integrity Section in Washington, D.C. Served in the Office of Independent Counsel Kenneth W. Starr; Principal Deputy in charge of the OIC s Washington, D.C. operations; Senior advisor to Judge Starr, including the Impeachment Referral of William Jefferson Clinton. Lawyers in America. Awarded Lawyer of the Year 2012 Environmental Litigation by Best Honored by Best Lawyers in America (Commercial Litigation; Criminal Defense: White-Collar; and Environmental Litigation).

7 Gregory G. Lockhart Former United States Attorney for the Southern District of Ohio. Honored by Drug Enforcement Administration. Jeanne M. Cors Honored as one of the Top 250 Women in Litigation by Benchmark Litigation and a Top Litigation Star in 2013 and Honored by Best Lawyers in America (Antitrust Law). Trent J. Sandifur Former Federal Prosecutor. General s (JAG) Corps. Chair, Foreign Corrupt Practices Act (FCPA) Group. Former Special Assistant U.S. Attorney to the U.S. Army Judge Advocate Former Major and Senior Defense Counsel in the Army National Guard. Charles A. Bowers Former Assistant Prosecutor in Erie County, Ohio. William C. Wagner Chair, Environmental Crimes Subcommittee to DRI's Government Enforcement and Corporate Compliance Committee. Fellow of the Litigation Counsel of America. Member of the Trial Lawyer Honorary Society.