When businesses, executives, financial advisors and others face investigations or potential charges, navigating the legal landscape can be daunting. At Lathrop GPM, our White-Collar Defense & Investigations team is composed of attorneys with a wealth of knowledge drawn from decades of service as former federal, state and local prosecutors and regulators. We offer strategic, results-driven representation to help protect our clients’ interests in federal and state investigations, criminal proceedings, and civil disputes.

Our breadth of white-collar experience across numerous practice areas offers clients a comprehensive and strategic advantage. Whether facing a government investigation, regulatory inquiry or internal review, working with a firm capable of addressing a wide array of white-collar issues ensures seamless, effective representation across all facets of the case. Our team’s deep experience in both prosecution and defense, combined with a proactive, tailored approach, helps clients mitigate risk while navigating some of their most challenging legal matters. From developing robust compliance programs to advocating in high-stakes investigations and trials, our team is committed to providing clients with sound counsel every step of the way.

Why Choose Us?

Cross-Industry Experience: Whether it’s healthcare, financial services or technology, we understand the regulatory landscapes across industries. Our work with private equity funds, government contracting compliance and securities fraud means that no matter the sector, we have the insight and resources to provide targeted legal counsel.

Government-Experienced Attorneys: Our attorneys have served in prominent government positions as U.S. Attorneys, district attorneys, and former leaders of state and federal agencies. This experience offers clients critical insights into congressional investigations, grand jury proceedings and regulatory enforcement by agencies like the SEC, CFTC and FDA. This also ensures clients are represented by a team that understands government strategies and how to respond effectively.

Proactive Risk Management: Our corporate compliance counseling and internal investigations services help clients address risks before they escalate into significant legal challenges. We help build robust compliance programs, conduct risk assessments, and offer ongoing counsel to reduce the likelihood of violations in areas like customs and export controls, data privacy and environmental violations.

Substantive Areas

Our White-Collar Defense & Investigations team offers comprehensive representation in a wide array of substantive areas, including:

Campaign Finance, Congressional and Administrative Investigations: Our campaign finance, congressional and administrative investigations practice defends individuals and organizations facing inquiries from government bodies. We have represented an individual in the DOJ’s investigation into alleged Foreign Corrupt Practices Act violations and an institute of higher education in a high-profile U.S. Senate Committee investigation. Additionally, we provide defense for clients accused of campaign finance and election law violations, ensuring thorough and effective representation in sensitive and politically charged matters.

Consumer Fraud Defense: Our consumer fraud defense practice provides robust representation in regulatory investigations and disputes involving marketing claims. We have successfully defended major brands, including a football helmet manufacturer in an FTC investigation over health and safety claims, and a global cosmetics company regarding implied safety claims for skin products, both of which concluded without enforcement action. Additionally, we defended a biotech firm in cognitive function claims, achieving a no-money settlement, and represented dietary supplement brands in multiple state investigations involving health-related marketing claims, helping them avoid significant penalties.

Environmental Violations: Our environmental violations defense practice handles complex investigations and regulatory compliance matters, including criminal liability risks. We have conducted internal investigations for companies accused of repeated environmental violations, such as a construction firm facing allegations under U.S. environmental laws. We also represented a Canadian biotech firm in ensuring compliance with Health Canada and Environment Canada regulations, some carrying criminal penalties. In addition, we defended a chemical manufacturer in a case involving potential criminal exposure under the EPA’s Clean Air Act regulations and represented an environmental consulting firm in a multimedia criminal investigation subpoena response.

False Claims Act (FCA) and Qui Tam (Whistleblower) Litigation: We defend clients in civil and criminal actions involving FCA allegations of fraud against the government. We have represented federal contractors in parallel investigations concerning FCA violations and certifications, addressing criminal, civil and administrative aspects. Additionally, we defended a national health care provider in a civil qui tam action where the whistleblower alleged violations of the Stark and Anti-Kickback laws and upcoding under Medicare. Our team navigates complex FCA cases to achieve favorable outcomes, ensuring that clients are equipped to manage both immediate risks and long-term compliance.

Financial Fraud / Financial Institution Fraud: Our financial fraud practice defends individuals and organizations in cases involving embezzlement, fraud and financial misconduct. We have represented nonprofit executives accused of federal fund embezzlement, agricultural producers facing visa fraud allegations, and a broadcasting company in an internal investigation of a multimillion-dollar fraud scheme. Our team also secured judgments in cases involving embezzlement by corporate executives, including recovering stolen funds for a large employer and obtaining multimillion-dollar forfeiture judgments for an insurance company. We have defended clients in federal fraud prosecutions, including a former soft drink executive and a mortgage lending firm president, among many other.

Foreign Corrupt Practices Act (FCPA): Our FCPA practice provides comprehensive defense and compliance services for individuals and companies facing bribery and corruption allegations. We have successfully represented individuals in DOJ investigations into FCPA violations, including high-profile cases involving multinational corporations. In addition to defending clients, we assist companies in developing and launching tailored FCPA compliance programs. Our team has also conducted internal investigations, such as one for a health care company addressing FCPA violations in Southeast Asia, ensuring a strategic approach to mitigating risk and resolving issues efficiently.

Health Care Fraud and Abuse: Our health care fraud and abuse practice defends providers, insurers and executives in high-stakes investigations and regulatory inquiries. We have represented a pharmaceutical executive in Medicare fraud and licensing board matters and defended a health care insurer in a Congressional investigation regarding Medicaid rate setting. Our team has successfully handled whistleblower claims alleging improper Medicare billing, antitrust violations and issues related to tainted pharmaceuticals. We also represent laboratory providers in investigations related to the Clinical Laboratory Improvement Amendments (CLIA) and have defended clients in qui tam actions involving the Stark and Anti-Kickback laws, securing favorable outcomes in complex federal and state investigations.

Investigations (Congressional, Regulatory, Grand Jury and Internal): Clients rely on Lathrop GPM for experience-based preparation and advocacy in critical situations, such as testifying before Congress, state legislative and regulatory bodies, and grand juries. When complaints of potential or actual wrongdoing or inquiries from federal or state law enforcement agencies occur, we conduct thorough internal investigations on behalf of clients. Additionally, we assist with responses to requests, letters and subpoenas seeking information from companies or individuals, and provide sound advice and counsel when search warrants are executed. We have handled internal investigations in many matters, including situations where a CFO was embezzling from a large employer, environmental violations of a construction company, employee misconduct, and legal violations, including alleged harassment, discrimination, retaliation and complaints received on clients’ whistleblower hotlines, conflicts of interest and other matters.

Legal Ethics Defense: Our legal ethics defense practice handles a broad range of professional responsibility matters, representing attorneys and law firms in complex disciplinary and compliance issues. We have defended partners at a major D.C. law firm in an investigation involving conflicts of interest related to international tax fraud and represented a lawyer in appeals concerning multiple alleged violations of bar rules. We also advised an international law firm’s domestic office on multiple inquiries by a committee on the unauthorized practice of law, addressing compliance concerns and avoiding sanctions.

Securities Fraud: Our securities fraud defense practice represents corporate executives and companies in high-stakes SEC and DOJ investigations involving insider trading, accounting fraud, and related offenses. We have successfully defended a former executive of a large beverage company in parallel SEC and DOJ investigations for alleged false earnings claims and obtained closure without charges for a public company CEO accused of insider trading. Our team has also represented private equity funds, corporate boards and audit committees in internal investigations and regulatory matters, achieving favorable outcomes, including no enforcement action in an SEC investigation into mutual fund practices.

Trade Secret Theft: Our trade secret theft practice defends individuals facing serious allegations of misappropriating proprietary information. We have represented a Chinese American scientist indicted for wire fraud and trade secret theft in a high-profile case involving a Fortune 300 pharmaceutical company. We have also represented an engineer from a Fortune 25 conglomerate in a pre-indictment investigation, successfully guiding them through plea negotiations and sentencing. Additionally, we advised a regulatory affairs professional from a Fortune 250 pharmaceutical company in a pre-indictment investigation related to trade secret matters, ensuring effective resolution without further escalation.

Our Services Also Include

  • Anti-Corruption & Foreign Corrupt Practices Act (FCPA)
  • Antitrust and Competition Law
  • Bank Fraud & Financial Institution Fraud
  • Campaign Finance Violations, Congressional, Grand Jury and Administrative Investigations
  • Corporate Compliance Counseling, Governance, Compliance, and Internal Controls and Investigations
  • Customs and Export Controls/Office of Foreign Asset Control
  • Cybercrime & Data Privacy Violations
  • Director, Officer and Entity Defense
  • Government Contracting and Procurement Fraud and Government Contract Disputes
  • Private Equity Funds, Registered Investment Advisors and Broker-Dealer Defense
  • Regulatory Enforcement (SEC, CFTC, FDA, etc.)
  • Tax Fraud, Evasion and Controversy (Civil and Criminal)

With our team’s vast experience in handling a wide variety of white-collar defense matters, Lathrop GPM is uniquely positioned to offer clients the peace of mind that comes with knowing they have seasoned counsel for every challenge. We stand ready to guide clients through even the most complex investigations and regulatory challenges. Whether defending against government enforcement actions or conducting internal investigations, our team brings the experience and resolve necessary to achieve successful outcomes.

Experience

Bar Ethics Matters

  • Represented partners of major D.C. law firm in conflicts of interest investigation concerning international tax fraud.
  • Representing a member of the District of Columbia Bar in appeals to the D.C. Board on Professional Responsibility and the D.C. Court of Appeals in a disciplinary proceeding involving multiple alleged bar rule violations related to the representation of various defrauded investors on a contingent basis.
  • Represented the D.C. office of an international law firm, and employees thereof, in multiple inquires by the District of Columbia Committee on Unauthorized Practice of Law and addressed various compliance issues related thereto.

Campaign Finance, Congressional and Administrative Investigations

  • Represented a company and individuals in grand jury investigation concerning President Clinton’s pardon of Marc Rich.
  • Represented an individual in the DOJ’s investigation into alleged violations of the Foreign Corrupt Practices Act.
  • Represented an individual in the Senate Ethics Committee investigation of Senator John Ensign (R. Nev.).
  • Represented an institute of higher education in a lengthy and high-profile investigation by a U.S. Senate Committee.
  • Represented individuals and organizations accused of campaign finance and election law violations.

Consumer Fraud

  • Represented major football helmet brand in FTC investigation into concussion and other health and safety claims. Closed with no enforcement.
  • Represented global cosmetic brand in FTC investigation involving implied safety claims for skin products. Closed with no enforcement.
  • Represented national dietary supplement brand in FTC investigation into healthy aging claims. Closed with no enforcement.
  • Represented biotech company affiliated with major university in FTC investigation into cognitive function claims for products. No-money settlement reached.
  • Represented several food and dietary supplement brands in California District Attorney investigations involving health-related marketing claims.
  • Represented start-up company in investigation by Florida Attorney General’s office into marketing claims for sleep, wellness, and relaxation products.
  • Represented a global money transfer business in defense of consumer fraud claims asserted in numerous jurisdictions within the United States and Canada.

Environmental Violations

  • Conducted an internal investigation for a construction company allegedly involved in repeated environmental violations.
  • Represented a Canadian biotech firm with respect to an internal investigation and compliance with Health Canada and Environment Canada regulations, many of which have criminal penalties relating to the manufacture, sale, and distribution of various bacteria products, many of which have criminal penalties.
  • Represented a chemical manufacturer with respect to potential criminal liability arising out of compliance with the U.S. EPA’s Risk Management Plan (RMP) regulations under the Clean Air Act.
  • Represented an environmental consulting firm in responding to subpoena in multimedia criminal investigation.

False Claims Act (FCA), including Qui Tam Litigation

  • Represented a federal government contractor in parallel criminal, civil, and administrative investigations into alleged Federal False Claims Act and certifications violations.
  • Represented a national health care provider in a civil qui tam (or whistleblower) action brought in federal court in the State of Washington in which the Relator alleged violations of the Stark and Anti-kickback laws, and upcoding.

Financial Fraud / Financial Institution Fraud

  • Represented nonprofit executive accused of embezzlement of federal funds.
  • Represented agricultural producer accused of visa fraud and financial improprieties.
  • Advised a large employer in connection with the discovery that its CFO had been embezzling from the company and obtained summary judgment in civil suit requiring the CFO to repay embezzled funds and forfeit his compensation.
  • Represented a broadcasting company in the internal investigation and prosecution related to a multimillion-dollar fraud and embezzlement scheme.
  • Represented a company which was the subject of bad cash management investments which were criminal; met several times with the FBI to investigate the transactions and conducted our own internal investigation of the employee.
  • Represented an insurance and benefits administration company in investigating embezzlement by its former CFO and helped obtain multimillion-dollar judgments for forfeiture and fraud.
  • Represented an investment executive charged with embezzlement by state authorities.
  • Represented companies and individuals in Maryland, Virginia, and Minnesota in connection with allegations of government contract fraud.
  • Represented the former high-level executive of a large soft drink manufacturing and distribution company in the DOJ’s and SEC’s parallel investigations of the company for alleged false earnings claims.
  • Represented the former president of a mortgage lending firm in a criminal mortgage fraud case brought in federal court in Virginia.
  • Represented the bankruptcy trustee and, working with forensic accountants, developed a database which was ultimately used by the FBI to investigate the Ponzi scheme of the debtors.
  • Represented a transportation company in connection with a fraud and embezzlement scheme conducted by a former employee and obtained summary judgment ruling ordering restitution and the forfeiture of compensation paid by the employer.
  • Represented various banks and have assisted them in filing criminal referrals in matters involving false financial statements and Bank Secrecy Act matters.

Foreign Corrupt Practices Act (FCPA)

  • Represented multiple individuals in DOJ investigations into alleged violations of the Foreign Corrupt Practices Act.
  • Represented an individual in the government’s investigation of a multinational telecommunications company for alleged violations of the Foreign Corrupt Practices Act.
  • Assisted numerous companies with development and launch of FCPA compliance programs.
  • Conducted an internal investigation on behalf of a health care company into allegations of Foreign Corrupt Practices Act violations occurring in Southeast Asia.

Health Care Fraud and Abuse

  • Represented pharmaceutical company executive in Medicare fraud and licensing board investigation.
  • Represented a health care insurer in a Congressional investigation regarding Medicaid managed care rate setting activities.
  • Represented a health care provider in a whistleblower case alleging improper billing under the Medicare program.
  • Represented health care providers in alleged rate setting violations for state programs.
  • Represented health care providers in inquires related to compliance with federal and state antitrust laws.
  • Represented health care providers in investigations into orders regarding alleged tainted pharmaceuticals purchased from New England Compound Center (NECC).
  • Represented laboratory providers in regulatory investigations with respect to alleged violations of Clinical Laboratories Improvement Act (CLIA) proficiency testing rules.
  • Represented a national health care provider in a civil qui tam (whistleblower) action brought in federal court in the State of Washington in which the Relator alleged violations of the Stark and Anti-kickback laws, and upcoding.
  • Represented third party administrator of self-insured health plans in defense of allegations by U.S. Department of Labor that the TPA had failed to disclose to its plan clients costs that it imposed on the plans, resulting in an alleged breach by the TPA of its fiduciary duties.
  • Conducted investigation of vendor for the Centers for Medicare and Medicaid Services into whether its employees had violated CMS guidelines in the reporting of certain of its processes and activities.

Internal Corporate Investigations

  • Advised a large employer in connection with the discovery that its CFO had been embezzling from the company and obtained summary judgment in civil suit requiring the CFO to repay embezzled funds and forfeit his compensation.
  • Conducted an internal investigation for a construction company allegedly involved in repeated environmental violations.
  • Conducted investigations for numerous employers into alleged employee misconduct or legal violations, including alleged harassment, discrimination, retaliation, and complaints received on the client’s whistleblower hotline.
  • Investigated allegations relating to the alleged adulteration of meat products by a meat packer’s employee.
  • Represented a broadcasting company in the internal investigation and prosecution related to a multimillion-dollar fraud and embezzlement scheme.
  • Represented a company that was the subject of bad cash management investments which were criminal; met several times with the FBI to investigate the transactions and conducted our own internal investigation of the employee.
  • Represented a state broadcasting company in prosecution and an internal investigation related to a multimillion-dollar fraud and embezzlement scheme.
  • Represented a Washington, D.C., corporation in an internal investigation of potential conflicts of interest.
  • Represented a transportation company in connection with a fraud and embezzlement scheme conducted by former employee and obtained summary judgment ruling ordering restitution and the forfeiture of compensation paid by the employer.

Securities Fraud

  • Represented the former high-level executive of a large soft drink manufacturing and distribution company in the DOJ’s and SEC’s parallel investigations of the company for alleged false earnings claims.
  • Represented individual corporate officers in seeking defense costs arising from alleged violations of Section 10(b) of the Securities Exchange Act and Investment Advisors Act.
  • Represented individuals accused of violations of securities regulations.
  • Represented individuals and venture capital funds accused of violating federal securities laws.

Trade Secret Theft Prosecutions

  • Representing a Chinese-American scientist formerly employed by a Fortune 300 multinational pharmaceutical company indicted in the U.S. District Court for the Eastern District of Pennsylvania for wire fraud, conspiracy to commit wire fraud, theft of trade secrets, and conspiracy to steal trade secrets.
  • Represented an engineer formerly employed by a Fortune 25 multinational conglomerate in pre-indictment theft of trade secrets investigation, plea, and post-plea cooperation and sentencing matters.
  • Represented a regulatory affairs professional formerly employed by a Fortune 250 multinational pharmaceutical company in pre-indictment investigation related to matters concerning trade secrets.

Agency Experience

We have broad experience representing and defending clients before local, state and federal agencies, including but not limited to:

  • State Departments of Commerce
  • Equal Employment Opportunity Commission (EEOC)
  • Federal Bureau of Investigation (FBI)
  • Federal Trade Commission (FTC)
  • Financial Industry Regulatory Authority (FINRA)
  • Immigration & Custom Enforcement (ICE)
  • National Association of Securities Dealers (NASD)
  • Office of Federal Contractors Compliance Programs (OFCCP)
  • Office of Higher Education
  • Office of the Secretary of State
  • Public Company Accounting Oversight Board (PCAOB)
  • State Accountancy Boards
  • State Departments of Employment and Economic Development (DEED)
  • State Departments of Health and Human Services
  • State Departments of Labor
  • State Departments of Revenue
  • State Medical Licensing Boards
  • State Pollution Control Agencies
  • U.S. Army Corps of Engineers (USACE)
  • U.S. Attorneys' Offices
  • U.S. Commodity Futures Trading Commission (CFTC)
  • U.S. Department of Commerce (DOC)
  • U.S. Department of Defense (DOD)
  • U.S. Department of Justice (DOJ)
  • U.S. Department of Labor/DOL/Employee Benefits Security Administration
  • U.S. Environmental Protection Agency (EPA)
  • U.S. Federal Trade Commission (FTC)
  • U.S. Food and Drug Administration (FDA)
  • U.S. Securities and Exchange Commission (SEC)
  • U.S. Small Business Administration (SBA)

Meet the Team

Primary Contacts