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www.nutter.com

Government Investigations and White Collar Defense

What matters most?

Clients facing an investigation or enforcement action by the government need help quickly. Every step or misstep can have an irreversible impact on the outcome. Whether it’s the U.S. Attorney’s Office, the SEC, the IRS, the DOJ, FINRA, FERC, the Massachusetts Securities Division, or another federal or state agency or a self-regulatory organization, an investigation can be serious, alarming and potentially damaging. Knowing what direction to take, what strategy to pursue, what to communicate when and to whom -- indeed knowing what to do every step of the way -- is critical.

What matters most is having the right team in your corner – legal counsel who are:

  • Experienced both as prosecutors and trial lawyers
  • Creative and practical at problem-solving
  • Responsive and proactive
  • Committed to understanding your business
  • Dedicated to providing the highest quality of service
  • Cost-sensitive
  • Driven to win

Our proven and trusted team

The Nutter team is a tightly-knit group of dedicated attorneys who work together on strategies to solve clients’ problems. Highly experienced partners share their expertise and insight to optimize each client’s case, in a collaborative approach that benefits the client with their combined knowledge and the strength of their collective commitment. We give each client an exceptional degree of direct partner attention, together with the consistent support of talented litigation associates who concentrate in government investigations and white collar defense work.

The senior members of our Government Investigations and White Collar Defense team include:

Jonathan L. Kotlier served for twelve years in the U.S. Attorney’s Office for the District of Massachusetts, during eight of which he was Chief of the Economic Crimes Unit. He worked closely with the Securities and Exchange Commission and the Massachusetts Division of Securities on securities fraud cases, and has conducted internal investigations and represented numerous high level corporate officers in investigations by the SEC and Department of Justice. A seasoned trial lawyer, he has tried over 20 cases to verdict. 

Ian D. Roffman is a former Senior Trial Counsel in the Enforcement Division of the Securities and Exchange Commission in Boston, where he received both the Chairman’s Award for Excellence and the Enforcement Director’s Award.

Who we represent

The Nutter white collar defense team represents companies and institutions, corporate management and employees, and a variety of other individuals who have included board members, chief executives and other top officers. Clients come from a wide range of industries and fields, including:

  • Pharmaceuticals and other life sciences sectors
  • Banking and other financial services
  • High technology
  • Manufacturing
  • Major educational and medical institutions
  • Energy and Utilities

Our clients range from Fortune 500 companies to world-renowned universities to employee groups to smaller businesses, who have turned to the firm for representation on the full spectrum of criminal and civil matters, regulatory proceedings, compliance efforts, internal investigations and other interactions with the state and/or federal governments.

What we do

The services we provide include:

  • Helping clients avoid running afoul of the government by advising them on corporate compliance and conducting internal investigations and audits as necessary
  • Vigorously defending the rights of clients who are targets, subjects or witnesses in governmental investigations and civil, criminal and regulatory actions
  • Representing clients in False Claims Act cases and qui tam investigations
  • Handling grand jury investigations, subpoena responses, hearings, negotiations, trials, appeals and all other aspects of litigation with the government
  • Drawing on extensive experience and substantive knowledge in a variety of specialty areas that are important to our clients, including:
    • Health care
    • Securities fraud and insider trading
    • Computer fraud and abuse
    • The Foreign Corrupt Practices Act (FCPA)
    • Banking issues including suspicious transactions and money laundering
    • Sarbanes–Oxley Act compliance
    • Other issues facing the financial services sector

Some examples of our success

Successes the Nutter team has achieved for clients include:

  • Winning acquittal in a high-profile federal trial for the general counsel of a publicly traded software company charged with securities fraud and false statements
  • Winning acquittal for a pharmaceutical company manager after a nationally watched three-month federal trial on conspiracy and health care fraud charges
  • Representing a multi-national health care provider in a government investigation with potentially extensive criminal exposure which resulted in relatively modest civil fine and closure of the government investigation
  • Representing the target of an IRS criminal enforcement matter involving over $10 million of prime real estate in which the individual was not charged and ultimately received a tax refund
  • Representing a mutual fund company in a Massachusetts Division of Securities investigation; no suit was filed
  • Obtaining a non-prison time sentence after a multi-day sentencing hearing for the chief in-house lawyer of a large construction company; the attorney had been charged in a multi-million dollar workers’ compensation fraud and the government sought a substantial prison term
  • Convincing the government not to bring criminal charges against an officer of a major health care company who had received a target letter from the government; the other officers who received target letters were all criminally charged
  • Representing a financial institution that had failed to file currency transaction reports for over $50 million in cash deposits; the U.S. Treasury Department ultimately took no enforcement action

Our areas of expertise

Health Care Fraud and Abuse
Nutter's government enforcement defense attorneys have been involved in virtually every major health care fraud case in New England over the past decade, including actions brought under the anti-kickback statute and the newest wave of cases challenging the off-label promotion of pharmaceutical products. Our group represents corporations, medical institutions and individuals in federal and state civil and criminal health care enforcement actions.

Securities Enforcement
Our attorneys have extensive experience with all types of federal and state, criminal and civil, SEC, and FINRA investigations and enforcement actions, including those regarding insider trading, accounting issues, and mutual fund late trading and market timing. Our group also conducts internal investigations into corporate governance and breach of fiduciary duty issues. Ian Roffman is a former senior counsel at the SEC, and Jonathan Kotlier worked extensively with the SEC, FINRA, and Massachusetts Division of Securities during his 12 years at the US Attorney’s Office; he also served on the Department of Justice’s Securities and Commodities Fraud Working Group.

False Claims Act and Government Contracts
Nutter has broad experience representing private and non-profit entities, and individuals, who have been sued for submitting allegedly false claims to government agencies. Nutter has also represented individuals whose work on government contracts has led to criminal charges. Our extensive work in the area covers industries ranging from military procurement to import/export firms, hospitals and medical devices.

Internal Investigations
Handling internal investigations is an integral part of the legal services we provide. Our attorneys extend expert legal advice, identify potential exposures at the earliest possible point, and assist clients in developing and adopting a plan to address these issues internally or negotiate a resolution with the regulator involved.

Compliance Programs
Our attorneys evaluate client needs, industry standards, regulatory guidance and the Federal Sentencing Guidelines to develop and implement optimal compliance programs that reflect a client’s unique requirements. In addition, the team conducts "refresher" courses to maintain the client’s awareness of both new and old regulations, as well as to highlight legal developments that may affect a client's business.

Computer Crime
Nutter attorneys have deep expertise in the issues surrounding the investigation, prosecution and defense of complex computer crime and intellectual property offenses, including theft of trade secrets, violations of the Computer Fraud and Abuse Act and other issues related to computer intrusions and the unauthorized use of electronic information. We also advise companies on compliance with state and federal disclosure obligations related to identity theft and the misuse of personal information.

Other Regulatory Enforcement
Nutter attorneys have significant experience representing energy companies and traders in enforcement, audit and compliance matters before FERC, including cases involving alleged market manipulation in the natural gas and wholesale electricity markets. In addition, Nutter has experience defending criminal and civil government enforcement actions in a wide range of areas beyond those described above. Our work, however, is not limited to defense; our attorneys also have extensive experience as special prosecutors and in representing victims of fraud in their efforts to recoup lost assets.