INVESTIGATIONS
Are you or your company being investigated? You may have been contacted by law enforcement requesting information or you may have received a subpoena or summons. Maybe you’ve learned that agents are asking questions of business or personal associates or requesting financial records from institutions. The next steps you take may profoundly impact the course of the investigation – and your life.
CRIMINAL INVESTIGATIONS
The Initial Stages
Generally the persons conducting the investigation will identify themselves. Certainly, if they are armed or wearing badges, or inform you they are employed by a law enforcement agency such as the police, the FBI the DEA or ICE, they are likely conducting a criminal investigation. Your best bet in nearly all such cases is to not answer any questions but rather obtain their contact information and tell them your attorney will contact them. Then call us.
We will determine if agents are operating on their own (suggesting an investigation in its early stages) or whether a prosecutor is involved (suggesting a more advanced investigation). If a prosecutor is involved, we will seek to learn whether a grand jury has been hearing evidence and recommend an appropriate response. We will quickly determine your status as a witness, subject or target and learn as much about the investigation as possible.
Next Steps
Together, we will decide the best “next steps.” Should we simply “sit tight” as the investigation continues or be more proactive? Generally, we’ll conduct an independent investigation, gathering evidence, interviewing witnesses, and drawing upon any of numerous experts available to us, if advisable.
In many investigations a client’s best interests are served by recommending competent counsel to others targeted in the investigation so we can coordinate a joint defense strategy, although there are times when we advise our client it is best not to coordinate with others.
All the while we will interact with agents and prosecutors to obtain as much information about the investigation as possible, to ascertain whether it is best to cooperate or prepare to resist.
Strategies
If we are representing a corporate entity an additional set of interests and strategies are implicated because companies often obtain special advantages by cooperating as early in an investigation as possible, and a criminal charge, even if subsequently withdrawn or not proven, can destroy a company. Additionally, companies will likely want to interview all employees who may have relevant information. And whether you are an individual or own or represent a company, we will advise you of the critical importance of preserving and not destroying any evidence. And we will also advise you to not undertake any investigation yourself – leave that to us, as your efforts may be considered obstruction of justice by suspicious prosecutors. You may have heard the saying, “it’s not the crime it’s the coverup.”
Tactics
With our decades of experience, we are aware of strategies you may have never considered. Sometimes, investigators are “just fishing,” as the saying goes, and have no real evidence against you and no substantial likelihood of obtaining an indictment. After reviewing all the facts, we’ve successfully advised clients to wait out the investigation, confident that no charges would be brought. Other times aggressive, proactive representation is the right course.
And on yet other occasions, a client may have information of value to the government, possibly suggesting that a “proffer” of evidence to the government is advisable, in the hope of eventually entering into a cooperation agreement. Such negotiations, however, require counsel with substantial experience and skill, as well as a keen understanding of how cooperation works in the district conducting the investigation, as cooperation can result in substantial benefits to the client or total disaster.
We’ve guided hundreds of clients successfully through the criminal investigatory stage and are confident we can do the same for you.
CIVIL AND REGULATORY INVESTIGATIONS
Government regulators through investigative bodies have been dramatically increasing their investigations over the past several years. You may have been contacted by agents or you may have been served with a subpoena or summons. It is important to have counsel that regularly responds to these inquiries and is able to advise you on all the elements of enforcement actions to assure you comply with the law, while best advancing your own interests.
We have substantial experience representing individuals and entities in all manner of regulatory investigations, including brokers/advisors who have received a “8210 letter” (a formal request for information from the Financial Industry Regulatory Authority (FINRA)), taxpayers receiving requests for information under IRS section 7602 (examination of books and witnesses) and otherwise. If you ignore these communications, you could be subject to steep fines or even lose your license, or worse. It is important to contact counsel as soon as possible to help you navigate the regulatory landscape before formal action is taken. We work with experienced teams of accountants and forensic investigators to secure all relevant information from you or your company, analyze the information and decide what to produce in response to any such inquiry.
Types of Investigations
We have decades of experience responding to inquiries regarding tax (IRS), health care (MFCU & HHS OIG), securities (SEC, CFTC & FINRA), housing (HUD) and banking law investigations. We will guide you through all stages of the regulatory investigation to maximize the likelihood that your livelihood is maintained, exposure is limited, costs are managed and the civil enforcement action does not become a criminal referral.
Subpoena Compliance
You’ve been Served with a Subpoena; Now What?
If you are served with a subpoena for documents or your testimony, it is important to seek legal counsel. Subpoenas are often drafted using overbroad and vague language and you may not have to comply with such a subpoena. We have years of experience successfully challenging such subpoenas. For example, the subpoena may call for all your records going back decades without clear limitations to documents the government is entitled to demand given the permissible scope of the investigation. Additionally, your production of documents may implicate your right not to incriminate yourself or betray another privilege such as your spousal privilege.
Privileges
Similarly, you may not have to testify at a deposition if you have a “reasonable fear” that your answers might incriminate you, although in certain civil contexts your invocation of your Fifth Amendment privilege may be used against you. Your deposition testimony might similarly implicate a spousal or other privilege. You may not see the connection between your potential testimony and these privileges, but we will advise you of your options. In the end we will help assure that you produce what you need to, and no more, except when more fulsome compliance may be in your interest.
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In our years of practice we have represented clients in myriad investigations, including, but not limited to fraud and financial crimes, drug offenses, domestic incidents, violent crimes, business/government fraud, tax investigations, immigration related offenses, regulatory investigations and civil subpoena compliance. If you are the subject of an investigation or have been contacted by any agent or served with any subpoena or summons for documents, information or testimony, call us as soon as possible.
A TYPICAL “THANK YOU”
We receive many “thank yous” from our clients, many of which you can read here and here, Here’s one:
A well-respected, skillful attorney... and a true gentleman. I retained Mr. Kaizer based on the suggestion of another attorney. "Nick" represented me in a matter involving the federal government. From the first meeting with Nick, I felt at ease. He’s patient, empathetic and honest. He took the time to understand a very complex set of circumstances spanning multiple parties. Importantly, Nick is very well-respected in the legal community (which was absolutely key to achieving such a favorable outcome). He sees the ‘big picture’. Throughout the process, he was proactive and responsive to any questions that I had. In the end, he achieved an outstanding result for me – significantly better than either of us had thought possible. On a more personal note, he's a true gentleman. I feel fortunate that Nick was on my side and would recommend him without hesitation.
ADDITIONAL READING
For additional guidance regarding the issues raised in this article and concerning other areas of our practice you may want to read about our representation during appeals, post-conviction representation, forfeiture and restitution, compassionate release applications, financial compensation for wrongful convictions, and civil litigation.
Contact Us
📞 Call Levitt & Kaizer: office (212) 480-4000 cell (917) 324-4000
📍 Office: 40 Fulton Street, Suite 1702, New York, NY 10038-1850
🖥️ Website: www.levittandkaizer.com