Category Archives: civil case

Government’s “Big” Case Against Compliance Officer Ends Up Kind of Small

Posted on May 9, 2017 by

The Treasury Department and former MoneyGram Chief Compliance Officer Thomas Haider have settled their civil claims. This was the first-ever case against a compliance officer for failing to implement an appropriate anti-money laundering (AML) program at a company. For all … Continue reading →

Posted in civil case, Compliance | Leave a comment

Fifth Circuit Takes a Goldilocks Approach to False Claims Act Standard for Imputing Knowledge to Corporation

Posted on April 25, 2017 by

The Department of Justice is always busy prosecuting fraud related to government contracts. The two obvious reasons why this is a DOJ priority are (1) a lot of public money is spent through government contracts, and (2) the size and … Continue reading →

Posted in Appeal, civil case, False Claims Act, Government contracting fraud, Kickbacks | Leave a comment

Update on the Hedge Fund Founder David Ganek’s Lawsuit Against Preet Bharara

Posted on March 27, 2017 by

A few weeks ago, I wrote about the lawsuit filed by Level Global founder David Ganek. Mr. Ganek sued Preet Bharara, the former U.S. Attorney for the Southern District of New York, as well as other prosecutors and agents, claiming … Continue reading →

Posted in Appeal, civil case, DOJ policy and practice, Fourth Amendment | Leave a comment

Where Are They Now? The First-Ever Case Against a Compliance Officer over Failure to Implement Anti-Money Laundering Program

Posted on February 5, 2017 by

Nearly two years ago, I wrote about the government’s civil complaint filed against the former Chief Compliance Officer of MoneyGram. The defendant in that case is still fighting and the case appears headed for trial. As a quick reminder of … Continue reading →

Posted in civil case, Compliance, Money Laundering | Leave a comment

Fight the Power, Part III: The David Ganek Complaint

Posted on January 23, 2017 by

In Part I of the series, I introduced the idea that defense counsel are increasingly fighting back against DOJ in creative ways. In Part II, we talked about Sheldon Silver and his defense counsel’s efforts to use DOJ’s very public … Continue reading →

Posted in civil case, DOJ policy and practice, Fifth Amendment, Fourth Amendment, Insider Trading, Prosecutorial misconduct, Search warrant, Securities fraud | Tagged | 1 Comment

When Criminal Defense and Civil Litigation Collide—Taking the Fifth in Civil Litigation

Posted on February 2, 2016 by

Most criminal defense lawyers would have no idea how to draft an interrogatory. That’s ok; it doesn’t come up in their practices. And most lawyers who handle civil cases would have no idea how to advise a client whose testimony … Continue reading →

Posted in civil case, Fifth Amendment, Uncategorized | 1 Comment

Can You Be Liable Because of Your Job Title? Control Person Liability and Jon Corzine

Posted on January 27, 2016 by

One of the primary differences between criminal and civil liability is that criminal liability requires the government to prove that the defendant acted wrongfully. In a civil case, an employer may be held liable under a theory of respondeat superior … Continue reading →

Posted in CFTC case, civil case, Uncategorized | Tagged | 1 Comment

When Your Engagement Letter’s Indemnification Clause Is a Lifesaver: The Penn State Sexual Abuse Scandal

Posted on June 26, 2015 by

After an internal investigation, the company being investigated must decide whether it wants the law firm (or investigative firm) to author a report of the investigation’s conclusions. The results of this decision may have unintended consequences for both the company … Continue reading →

Posted in civil case, Uncategorized | Tagged | 1 Comment

First-Ever Case Against Chief Compliance Officer For Failure To Implement Anti-Money Laundering Program at MoneyGram

Posted on March 3, 2015 by

A Chief Compliance Officer (CCO) ensures that the Board of Directors, management and employees comply with the rules and regulations of regulatory agencies and the company’s own policies and procedures. What happens, then, when the CCO is personally accused of … Continue reading →

Posted in civil case, Compliance, Money Laundering | Tagged , | 7 Comments

Collateral Damage: FCPA-Related Non-Prosecution Agreement for Hewlett-Packard Leads to Civil RICO Lawsuit

Posted on February 24, 2015 by

A non-prosecution agreement is a wonderful thing. But it may not mean the end of the woes for a company under government investigation. Hewlett-Packard (HP), the California-based technology firm, and its Mexican subsidiary, HP Mexico, entered into an NPA with … Continue reading →

Posted in civil case, FCPA, Non-Prosecution Agreement, RICO | Tagged | Leave a comment