White Collar Crime and Corporate Compliance

Corporations and individuals who are under investigation or charged with federal or state criminal charges face challenges of the highest order. Not only are the stakes enormous, but the strategic considerations are often completely different from those of the civil arena. Helping clients overcome these challenges has been a central focus of Caldwell Leslie's practice since the firm's inception.

Caldwell Leslie's White Collar Crime and Corporate Compliance practice group has handled all manner of criminal and quasi-criminal proceedings—from major federal tax and securities fraud cases to regulatory matters prosecuted by local authorities, from trial in both the federal and state courts to grand jury investigations that are resolved before anything becomes public. We regularly are called on by our clients to conduct timely and accurate confidential internal investigations, often when allegations of misconduct by employees are made, and we have assisted our clients in the development and implementation of corporate compliance programs. We also have extensive experience in environmental criminal defense.

Our practice extends to proceedings that, while not technically criminal, have criminal overtones. We have handled numerous matters before the Securities and Exchange Commission, as well as related securities fraud actions—an area for which our firm was singled out in a recent Top Sothern California Law Firms edition of the Los Angeles Daily Journal. We have been successful in fending off government asset forfeiture actions. We have represented clients before the California State Bar, the California Medical Board, the State Insurance Board, the Federal Election Commission and its local analogs, the Fair Political Practices Commission and the City Ethics Commission.

Our lawyers bring a tremendous amount of experience to bear. Our white collar crime and corporate compliance practice group includes former federal prosecutors and former federal government defense trial attorneys. Please contact Michael Proctor for additional information about Caldwell Leslie's white collar crime and corporate compliance practice.

Representative Cases:

 Representation of a person criminally charged in a high-profile illegal campaign contribution case brought by the Los Angeles District Attorney's Office. Arguing a motion that analyzed over thirty years of legislative history relating to the Political Reform Act, our office obtained a complete victory for our client, resulting in all charges dismissed.

 Representation of a client facing loan and consumer fraud charges arising out of his activities at a Los Angeles area car dealership. Because of our pre-filing investigation and negotiation, the prosecutor decided not to pursue the case against the client—notwithstanding earlier representations that felony charges were "inevitable."

 Representation of a corporate executive and his company facing federal criminal charges for bribery and political corruption arising out of the bid process for contracts with the City of Oakland and County of Alameda. After filing potentially dispositive motions, the case was successfully resolved such that all charges were dismissed against the executive. The company paid a nominal fine and was not debarred from future business.

 Successful defense against the federal government's attempt to impose large civil forfeiture penalties on a Daimler-Chrysler executive whose relative had committed massive fraud.

 Representation of a prominent Los Angeles physician on tax, bank fraud and money laundering criminal charges. Our defense of the client included proceedings in federal court and before the California Medical Board.

 Defense of a national media company after criminal charges were filed by the Los Angeles City Attorney's Office challenging aspects of the company's advertising practices.

 Defense at trial of a corporate officer of a defense contracting firm who was charged with contract fraud. Ten weeks into trial, at the close of the government's evidence, the Court granted our motion for an acquittal.

 Representation of a consortium of investors in a $1.5 million federal asset forfeiture action, arising out of a wire fraud investigation. After we litigated successfully a motion to transfer venue, the government accepted a settlement that preserved 90% of the property sought to be forfeited.

 Victim representation of the founder of one of Silicon Valley's leading companies. During the criminal proceedings, the client's identity was protected and the perpetrator received a significant sentence and a stay-away order.

 Representation of a CEO accused of looting his company of almost all its major assets. We obtained a very favorable civil resolution of the entire matter, resulting in no criminal charges being filed.

 Representation of a leading Los Angeles Certified Public Accountant accused of embezzling in excess of $2 million from his own clients. The matter was resolved and no criminal charges were ever filed.

 Representation of the former president of a failed mortgage company in complex criminal and civil proceedings, including concurrent investigations by a federal grand jury, two state grand juries, and the Securities and Exchange Commission, as well as defense of five state civil actions against our client.

 Oversight of an internal investigation at a Fortune 500 company after allegations were made concerning a kickback scheme and illegal drug purchases by a senior executive. Following our investigation, the matter was resolved in a manner that included termination of the executive and enabled our client to avoid civil, criminal and administrative liability.

 Representation of an employee of a major oil company in a grand jury investigation of illegal dumping.

 Representation of a criminal defense attorney before the California State Bar against charges of misconduct made by a district attorney's office. Our efforts resulted in no further action or charges against our client.

 Representation through trial of the campaign treasurer for a member of the United States Congress on felony charges of violating campaign finance laws.

 Representation of a physician under investigation by the state licensing board for illegal prescription drug dispensing. The investigation was closed without any charges or action against our client.

 Oversight of a corporate internal investigation into alleged improper payments demanded by a senior employee from an outside vendor to the company. Following the investigation, we defended our client in civil litigation arising from the allegations.

 Representation of several foreign nationals in seeking to recover assets frozen by the government after one of our clients, who resided in the United States, was alleged to have engaged in illegal money laundering and other criminal violations.

 Representation of a foreign corporation in a manslaughter investigation by the Los Angeles District Attorney's Office after an employee died in an industrial accident at the company's plant in Los Angeles. The matter was closed with no charges against our client.

 Representation of two physicians in a federal and state criminal investigation involving alleged violations of the Medicare Anti-Kickback statute. The investigation was a high-profile matter in the doctors' home community, and we had extensive dealings with the press to attempt to minimize damage to our clients' reputations and medical practices. Ultimately, the investigations were closed without any charges against our clients.