Wiggin and Dana's White Collar Defense, Investigations and Corporate Compliance Practice Group is dedicated to delivering responsive client service, exceptional judgment, and creative, intelligent advocacy at the highest level. We represent a broad array of clients in investigations by federal and state criminal, civil, and regulatory authorities; conduct internal investigations; provide corporate governance advice; structure compliance programs; and advise clients on compliance-related matters. We also serve as government-appointed monitors, including in the aerospace industry.
Our attorneys carefully guide our clients through government investigations and prosecutions, endeavor to persuade authorities not to prosecute, and negotiate plea agreements and settlements. On those occasions when matters cannot be resolved outside the courtroom, we aggressively defend our clients at trial and on appeal. Our lawyers have collectively conducted hundreds of trials and appeals as both prosecutors and defense counsel.
We have expertise honed from years of experience in the public and private sectors, serving as federal prosecutors, in-house global compliance leaders, and private counsel to corporate and individual clients in sophisticated white collar investigations and compliance-related matters. Our team includes five former federal prosecutors from the U.S. Attorney's Offices for the District of Connecticut, Eastern District of New York, District of Delaware, and Eastern District of Pennsylvania; the U.S. Department of Justice (DOJ); and the U.S. military. Our Partners have more than 100 years of combined experience as defense attorneys and prosecutors; they have held positions of leadership and have acquired broad experience in government and the private sector; and they have been recognized for their achievements within those sectors. Our lawyers are ranked as national leaders, and our Practice Group has been recognized as a top practice by Chambers USA and another leading publication in Connecticut.
We are regularly engaged by Fortune 50 companies, major defense contractors, accounting firms, global financial institutions, hedge funds, technology companies, health care organizations, insurance companies, universities, small and mid-size businesses, and executives and other individuals. Collectively, we have represented corporations and individuals in criminal, civil, and regulatory matters before the DOJ, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, the Commodity Futures Trading Commission (CTFC), the Internal Revenue Service (IRS), the Public Company Accounting Oversight Board, the U.S. State Department, the U.S. Commerce Department, the Philadelphia Stock Exchange, state Attorneys General, and other federal and state regulators. Our matters have related to insider trading, wire fraud, mail fraud, residential mortgage-backed securities (RMBS), stock options backdating, bribery and foreign corrupt practices (as defined by the Foreign Corrupt Practices Act—FCPA), false claims, false statements, securities, tax and other financial fraud, export control violations, sanctions violations (OFAC), antitrust violations, money laundering, data breaches, and public corruption.
We have considerable experience conducting internal investigations and are often retained by educational institutions and entities in the financial, health care, manufacturing, construction, and defense industries facing "crisis situations." Our internal investigations have involved SOX whistleblower complaints, embezzlements, government contracting matters, commercial bribery, mail and wire fraud, theft, health care fraud, allegations of sexual harassment and abuse, export control regulations, sanctions laws, revenue recognition, and computer data breaches.
We advise companies and other organizations on the development and maintenance of compliance programs for domestic and foreign operations to ensure compliance with the FCPA, OFAC, anti-money laundering laws, the ITAR and the EAR, and regulations administered by OFAC and BATFE, among others. We develop, implement, audit, and monitor compliance programs; conduct compliance audits in anticipation of acquisitions and dispositions; conduct legal reviews of high-risk areas; advise on all aspects of document retention policies; draft and update codes of conduct and employee manuals; conduct compliance training and education programs; implement compliance hotlines and internal reporting mechanisms; and recommend disciplinary guidelines.