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Government Investigations, White Collar & Compliance

Government Enforcement Actions

  • Overview
  • Updates, News & Presentations
  • Representative Experience

Godfrey & Kahn has substantial experience representing organizations and individuals subject to government enforcement actions.

Numerous federal and state government agencies possess broad enforcement powers, which include the ability to issue subpoenas, take depositions, and, ultimately, impose penalties. The penalties can be significant, including debarment and large monetary fines—and can sometimes even lead to criminal prosecution. We are also sensitive to the effect less significant penalties, like a censure, can have on your reputation. Our experience includes representation of clients subject to enforcement actions brought or threatened by the following institutions:

  • U.S. Department of Justice
  • U.S. Securities and Exchange Commission (SEC)
  • U.S. Department of the Treasury, Office of the Comptroller of Currency (OCC)
  • Federal Deposit Insurance Corporation (FDIC)
  • Public Company Accounting Oversight Board (PCAOB)
  • Financial Industry Regulatory Authority (FINRA)
  • U.S. Department of Health and Human Services, Office of Inspector General (HHS-OIG)
  • U.S. Food and Drug Administration (FDA)
  • U.S. Department of Labor
  • U.S. Immigration and Customs Enforcement (ICE)
  • U.S. Customs and Border Protection (CBP)
  • U.S. Department of Commerce, Bureau of Industry and Security (BIS)
  • U.S. Department of the Treasury, Office of Foreign Assets Control (OFAC)
  • U.S. Department of State, Directorate of Defense Trade Controls (DDTC)
  • Wisconsin Department of Justice
  • Wisconsin Department of Financial Institutions (DFI)
  • Wisconsin Department of Safety and Professional Services (DSPS)

Representative Experience

Assisted public company with response to federal investigation of alleged immigration status fraud

Represented target of U.S. Department of Justice antitrust investigation involving pharmaceuticals industry

Represented accounting firm in response to investigation by Public Company Accounting Oversight Board (PCAOB) and Securities and Exchange Commission (SEC)

Investigated potential improper payments to county government officials in connection with public schools project

Assisted company in responding to investigation by Occupational Safety and Health Administration (OSHA) of employee death in the workplace

Assisted client in responding to state attorney general investigation of allegedly deceptive marketing practices

Defended client accused by Wisconsin Department of Financial Institutions of securities law violations in connection with solicitation of business capital

Resolved professional licensing matter on behalf of physician before Wisconsin and Illinois medical examining boards

Assisted client in responding to audit by State of Wisconsin regarding payments received under the Affordable Care Act

Advised financial institution where customer was target of IRS and SEC investigations of alleged Ponzi scheme

Represented a mutual fund advisor in a SEC investigation into alleged improper charging of fees to its investors

Responded to state and federal securities investigation of alleged improper fundraising through private placement memorandum

Counseled a publicly-traded company involved in government contracting in its response to a federal investigation into potential violations of the Federal Acquisition Regulations

 

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