Investigations and White Collar Litigation

Glaser Weil’s Investigations and White Collar Litigation practice represents corporations, boards, senior executives, financial institutions and high‑profile individuals in civil,  criminal and regulatory enforcement matters, including investigations by the Department of Justice (DOJ), U.S. Attorneys’ Offices, Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), Internal Revenue Service (IRS), Financial Crimes Enforcement Network (FinCEN) and state prosecutors.

We are trial lawyers—battle‑tested advocates who step in when government investigations commence, subpoenas issue and enforcement risk becomes real. Our practice is built for matters that may resolve quietly—or proceed all the way to trial.

Anchored by former federal prosecutors, senior DOJ supervisors and nationally recognized trial lawyers, our team brings an insider’s understanding of how enforcement agencies investigate, charge and litigate cases—and how to defeat them. We regularly defend clients in parallel criminal, civil and regulatory proceedings, often under intense public scrutiny.

Our defining approach is day‑one trial readiness. Even when pursuing early resolutions, we prepare each matter as if it will be tried. That posture strengthens credibility with enforcement authorities, preserves leverage and consistently improves outcomes.

WHAT SETS US APART

Prosecutorial Firepower and Trial Depth

Our bench includes former Assistant U.S. Attorneys, DOJ Section Chiefs and senior trial lawyers with decades of courtroom experience in federal and state courts. We focus on results—not theoretical risk tolerance—guided by firsthand knowledge of enforcement decision‑making.

Litigation‑Driven Investigations

We conduct internal and government‑facing investigations through a litigation lens, anticipating evidentiary challenges, witness credibility issues and trial presentation from the outset. Every fact is developed with an eye toward how it will play before a judge, jury or regulator.

Crisis and Reputation Defense

We regularly defend clients under intense public and regulatory scrutiny, including public companies, regulated institutions, executives and public figures. We work seamlessly with select, industry‑specific communications professionals to ensure disciplined, aligned legal and reputational strategy.

Financial, Securities and Regulatory Sophistication

With deep experience in accounting, auditing, securities regulation, financial markets, tax and digital assets, our lawyers engage fluently with regulators, forensic experts and enforcement agencies in the most complex matters.

CORE CAPABILITIES

• White‑collar criminal defense and DOJ investigations
• SEC, FINRA, PCAOB and regulatory enforcement defense
• Parallel criminal, civil and administrative proceedings
• Securities fraud and accounting investigations
• Criminal and civil tax defense
• False Claims Act (qui tam) enforcement defense
• Federal and state trial and appellate advocacy
• Healthcare fraud

Notable experience includes our attorneys’ representation of: 

• A nonprofit think tank facing a federal grand jury subpoena related to a criminal investigation. Led the client through a comprehensive internal review, negotiated a narrowed subpoena scope, and ultimately persuaded prosecutors to drop the client as a target—resolving the matter without charges.
• A prominent cannabis executive under federal investigation for alleged fraud and money laundering. Worked directly with federal agents to narrow the scope of inquiry and negotiated a resolution without charges or required document production, preserving the client’s business and reputation.
• Senior executives of an investment banking firm in parallel criminal, civil and SEC proceedings in New York and Los Angeles, securing complete defense outcomes across all matters.
• A former associate of the Mexican Mafia in a federal RICO investigation, negotiating a cooperation agreement that eliminated the client’s liability and allowed him to avoid incarceration.
• The former CEO and chairman of the board of Tenet Healthcare in a U.S. Securities and Exchange Commission (SEC) investigation concerning disclosures in financial reports and alleged improper trading in Tenet’s securities. At the conclusion of its investigation, the SEC declined to initiate any action against the client.
• Former co-chairman of Global Crossing in an SEC investigation related to Global Crossing’s alleged accounting practices and procedures. After extensive document discovery and depositions, the SEC ultimately closed its investigation and determined not to file any criminal or civil charges or complaints against our clients.
• Aerospace companies and senior executives in defending against False Claims Act (qui tam) investigations and litigation.
• Clients in criminal and civil enforcement matters brought by the DOJ, SEC, FINRA and state prosecutors, securing favorable resolutions at every stage—from pre‑charge negotiations through trial and sentencing.
• Defendants-appellees in United States v. Samango, 450 F.Supp. 1097 (D.Hi.), securing dismissal of all federal charges in a high‑profile criminal prosecution alleging participation in an international narcotics trafficking conspiracy, eliminating all criminal liability for the clients.
• Olympic gold medalist Tyler Hamilton in connection with a federal grand jury investigation into alleged doping‑related fraud involving Lance Armstrong and the U.S. Postal Service cycling team.
• AlliedWallet, Inc., in action brought by the Federal Trade Commission, settling the matter for less than 10% of the amount sought.
• Zhang Hongbao, the Chinese activist who founded the Zhong Gong spiritual movement, in securing his release from detention after 16 months of incarceration just two months after being retained.
• Amdi Petersen, the founder of a prominent Denmark-based alternative school system, in extradition proceedings.
• An individual co-founder of a nonprofit in a multiweek white collar jury trial that resulted in a minimal sentence for the defendant’s conduct.
• Former president of a publicly traded company in the successful defense of a state Blue Sky securities fraud action.
• A private wealth management firm in connection with an SEC investigation.
• Attorneys, accountants and business managers in multiple claims and SEC proceedings.

REPRESENTATIVE GOVERNMENT EXPERIENCE

The following matters were handled by a Glaser Weil attorney while serving in senior prosecutorial roles with the U.S. Department of Justice:

• United States v. Katherine Kealoha et al. One of the lead prosecutors in a landmark public corruption and civil rights case involving a deputy prosecutor, a police chief and police officers who framed an innocent man. Following a six‑week jury trial with more than 90 witnesses, all four defendants were convicted; the longest sentence imposed was 15 years’ imprisonment. The convictions were affirmed by the Ninth Circuit.
• United States v. Steven Martinez. Prosecuted a former IRS agent who orchestrated a $15 million fraud scheme and attempted to hire a hitman to kill witnesses. Secured guilty pleas on multiple counts; defendant sentenced to 24 years in federal prison.
• United States v. Thanh Viet “Jeremy” Cao. Tried and convicted the architect of an $18 million Ponzi scheme following a 24‑witness jury trial. Defendant was sentenced to 30 years’ imprisonment; conviction affirmed on appeal.
• United States v. Jeffrey Spanier. Tried and convicted the owner of a stock lending firm involved in a $100 million elaborate stock-loan fraud scheme following a multi-week jury trial. Defendant was sentenced to multiple years in prison and ordered to pay $20 million in restitution to victims all over the world.
• United States v. Neil Thomsen. Prosecuted a tax preparer turned identity thief who stole the identities of his unsuspecting clients, filed false tax returns, assumed their identities and collected their refunds, which he spent for his own personal benefit. Secured guilty verdicts on more than 30 counts of fraud and aggravated identity theft following a multi-week jury trial. Defendant was sentenced to more than 10 years in prison.
• United States v. Aaron Pittman et al. One of the leaders of this 20+ defendant RICO case involving gang‑related drug trafficking, sex trafficking of minors and violent crime. Secured multiple guilty verdicts and pleas; longest sentence imposed was 11 years’ imprisonment.

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