Government Investigations & Enforcement

AEL represents individuals and institutions in connection with government investigations and enforcement actions. Our partners are former federal prosecutors who, prior to founding AEL, personally investigated, prosecuted and supervised some of the largest, most high-profile healthcare fraud, computer, and bank fraud cases in the country. We know how the government investigates and prosecutes criminal and civil enforcement cases, having done it ourselves for nearly 30 years collectively. We leverage our “insider’s view” to develop holistic strategies for navigating clients through government enforcement matters, and regularly help clients respond to government subpoenas and CIDs, prepare witnesses and represent them in proffers, interviews, and depositions, advise on grand jury matters, and advocate before federal and state goverment prosecutors and regulators. In every situation, our primary goal is to vigorously protect and defend our clients’ interests and help resolve matters as efficiently, expeditiously, and discreetly as possible. 

Representative Matters

  • Obtained dismissal of healthcare fraud indictment from United States Attorney’s Office for the Eastern District of New York (EDNY). Doctor pled guilty to a superseding information charging him with a non-intent misdemeanor for importing misbranded drugs. Doctor received a sentence of 1 year probation.
  • Obtained a Deferred Prosecution Agreement (DPA) from the United States Attorney’s Office for the Southern District (SDNY) in an indicted healthcare fraud case. Our client, an interventional cardiologist, was previously charged on one felony count of healthcare fraud, but the SDNY agreed to a DPA and to decline further prosecution so long as the client entered into a civil settlement agreement within a year of the DPA.
  • Successfully resolved multi-year investigation involving a prominent New York-based obstetrician/gynecologist with the New York Attorney General’s Office (NYAG). The case arose from a years-long investigation by the NYAG under the New York State version of the False Claims Act. After years of investigation and months of negotiation, AEL ultimately convinced the State to resolve the matter as a relatively small overpayment, instead of a False Claims Act violation, with no admissions by the client of wrongdoing, no penalties, and no exclusion from billing the Medicaid program.
  • Steered parallel criminal/civil fraud and False Claims Act investigation involving a chiropractor to a global civil-only resolution.
  • Represented subject in a fraud investigation in the District of New Jersey (DNJ) related to fuel laboratory results.
  • Represented “c-suite” executive of pharmacy in connection with healthcare fraud investigation in the District of New Jersey (DNJ).
  • Representing “c-suite” executive of New York nonprofit organization in connection with investigation by New York Attorney General’s Office (NYAG).
  • Representing “c-suite” executive of healthcare research and development company in investigation by Securities & Exchange Commission (SEC).
  • Routinely represent individuals, including business owners, company executives, doctors and other professionals in ongoing government investigations and prosecutions.
  • Represented academic medical center in federal government investigation regarding part-time employment and office space rental arrangements with cardiology practice.
  • Represented hospitals in responses to federal and state government subpoenas for documents and testimony in investigations regarding alleged arrangements with community physicians.
  • Represented institutional owner of captive insurance company and its third-party administrator in New York Department of Financial Services (DFS) investigation into complicated reinsurance transactions.
  • Conducted internal investigations into alleged billing improprieties and regulatory compliance violations perpetrated by physicians and administrators.
  • As Assistant U.S. Attorney, investigated civil claims against wholesale drug company regarding repackaging and redistributing pre-filled supportive drugs for chemotherapy patients. Case resolved with, among other things, a settlement for more than $800 million.
  • As Assistant U.S. Attorney, led a portion of the investigation that resulted in the historic $16.6 billion-dollar resolution against a financial institution following the “subprime mortgage crisis.” The settlement was at the time the largest settlement with a single corporate entity in U.S. history. Our investigation established that the financial institution knowingly made loans insured by the FHA in violation of applicable underwriting guidelines and that the bank caused the FHA to insure loans that were not eligible for mortgage insurance.
  • As Assistant U.S. Attorney, led the investigation into underwriting and origination mortgage fraud at a major subprime lending institution.  The investigation focused on lending practices to determine whether the bank, and its parent corporation, knowingly made loans insured by the FHA to unqualified home buyers and defrauded the FHA insurance fund by originating mortgage loans that were based upon inflated appraisals. The $1 billion-dollar settlement that followed the investigation was the largest False Claims Act settlement ever relating to mortgage fraud.
  • As Assistant U.S. Attorney, member of team that investigated and charged the “Newswire” case, a cutting edge “hacking and trading” conspiracy in which cybercriminals infiltrated major newswire agencies and then sold stolen material nonpublic information to securities traders before press releases were made public.
  • As Assistant U.S. Attorney, supervised team of AUSAs investigating and charging one of the largest-ever international bribery and corruption cases under the Foreign Corrupt Practices Act (FCPA) against a healthcare company. The case resulted in a deferred prosecution agreement and penalties totaling approximately $346 million.
  • As Assistant U.S. Attorney, prosecuted and settled civil fraud claims against commercial laboratory for making payments to induce physicians to utilize testing services.
  • As Assistant U.S. Attorney, investigated and charged criminally medical doctor, pharmacists, and pharmacy owners in a healthcare fraud and kickback conspiracy involving medically unnecessary pain creams.
  • As Assistant U.S. Attorney, investigated and resolved matter under the Federal False Claims act against a Board Certified Ophthalmologist who, in contravention of Medicare regulations, administered certain pharmaceutical products that he had purchased overseas, which the U.S. Food and Drug Administration had not evaluated nor approved for use in the United States.  These products included aflibercept (“Eylea”) and ranibizumab (“Lucentis”).
  • As Assistant U.S. Attorney, conducted and resolved investigation regarding improper financial relationships between several hospitals and physicians referring patients to those hospitals under the “Stark” law. 
  • As Assistant U.S. Attorney, tried and convicted an individual selling misbranded and unapproved chemotherapy and contraceptive drugs. The trial included testimony from more than 40 witnesses, including high-ranking government officials, senior representatives from several major pharmaceutical companies and numerous providers who unknowingly purchased defendants’ drugs and injected them into their patients. At the close of the six-week trial, the jury returned guilty verdicts on sixty-six felony counts.
  • As Assistant U.S. Attorney, led investigation against a diagnostic laboratory that unlawfully input diagnosis codes into claims forms it submitted to CMS and Medicaid Services.