The U.S. Environmental Protection Agency (EPA) is responsible for enforcing the federal laws, regulations, and Executive Orders focused on protecting the environment for the benefit of the American people, threatened and...more
7/17/2024
/ Compliance ,
Defense Strategies ,
Discovery ,
Document Review ,
Enforcement Actions ,
Enforcement Priorities ,
Environmental Policies ,
Environmental Protection Agency (EPA) ,
Environmental Violations ,
Evidence ,
Investigations ,
Litigation Strategies ,
NPDES ,
Penalties ,
Risk Mitigation
The U.S. Securities and Exchange Commission (SEC) has conducted several publicized investigations focused on broker and investment adviser or advisor cherry-picking in recent years. Most recently, the SEC announced on August...more
Financial Industry Regulatory Authority (FINRA) investigations present significant risks for broker-dealers. Not only can FINRA take enforcement action—including the imposition of penalties and barring broker-dealers from the...more
Recently, the U.S. Food and Drug Administration (FDA) confirmed that it is investigating allegations that a 60 Minutes segment on the popular body weight loss drug Wegovy was actually an advertisement promoting the...more
4/19/2023
/ Advertising ,
Criminal Prosecution ,
Enforcement Actions ,
Food and Drug Administration (FDA) ,
Health Care Providers ,
Investigations ,
Marketing ,
Novo Nordisk ,
Pharmaceutical Industry ,
Pharmacies ,
Physicians ,
Prescription Drugs
The U.S. Securities and Exchange Commission (SEC) investigates publicly-traded and privately-held companies for a broad range of statutory and regulatory violations. SEC investigations can target issues ranging from...more
4/4/2023
/ CEOs ,
Civil Liability ,
Corporate Counsel ,
Criminal Penalties ,
Criminal Prosecution ,
Defense Strategies ,
Investigations ,
Privately Held Corporations ,
Publicly-Traded Companies ,
Regulatory Violations ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Statutory Violations ,
Subpoenas ,
Wells Notice
As a doctor or other licensed medical professional, the prospect of losing your license to practice medicine can be overwhelming. But, to protect your license—and your career—to the fullest extent possible, you need to act...more
3/21/2023
/ Defense Strategies ,
Health Care Providers ,
Healthcare Fraud ,
Investigations ,
Licensing Boards ,
Medical License ,
Medical Malpractice ,
Physicians ,
Professional Disciplinary Actions ,
Professional Liability Insurance ,
Professional Responsibility ,
State Medical Board
Similar to other types of healthcare entities, clinical laboratories have been facing enhanced scrutiny from federal authorities over the past couple of years. While this is due in part to fraud concerns related to COVID-19...more
3/8/2023
/ Anti-Kickback Statute ,
Civil Liability ,
Clinical Laboratories ,
Clinical Laboratory Testing ,
Coronavirus/COVID-19 ,
Criminal Liability ,
Defense Strategies ,
Department of Justice (DOJ) ,
Evidence ,
False Billing ,
FBI ,
Health Care Providers ,
Healthcare Fraud ,
Internal Audit Functions ,
Investigations ,
Risk Assessment
The U.S. Department of Justice (DOJ) has recently taken a renewed interest in management services organizations (MSOs), including physician-syndicated MSOs in which physician-owners provide medical services in exchange for...more
U.S. Immigration and Customs Enforcement (ICE) aggressively executes its mission “to protect America from the cross-border crime and illegal immigration that threaten national security and public safety.” With both political...more
1/31/2023
/ Criminal Liability ,
Defense Strategies ,
Department of Homeland Security (DHS) ,
Employer Liability Issues ,
Employment Eligibility Verification ,
Foreign Workers ,
Form I-9 ,
Immigration and Customs Enforcement (ICE) ,
Immigration Enforcement ,
Investigations ,
Search Warrant ,
Subpoenas
As a pharmacist, facing a board of pharmacy investigation can be extremely risky. While losing your professional license might seem like the greatest risk, this isn’t necessarily the case. Increasingly, boards of pharmacy are...more
The U.S. Federal Trade Commission (FTC) holds primary responsibility for enforcing the nation’s consumer protection and antitrust laws. While the FTC actions have traditionally focused on targeting large companies suspected...more
1/10/2023
/ Anticompetitive Behavior ,
Antitrust Violations ,
Civil Investigation Demand ,
Consumer Fraud ,
Criminal Prosecution ,
Defense Strategies ,
E-Commerce ,
Enforcement Authority ,
Federal Trade Commission (FTC) ,
Investigations ,
Record Preservation ,
Special Reports ,
Subpoenas
As a licensed physician, facing a medical board investigation could mean that your career is on the line. Even though you spent years in medical school and in residency, and even though you may have spent decades honing your...more
As a licensed physician in Texas, facing a Texas Medical Board (TMB) investigation can present significant risks. Depending on the allegations underlying the investigation, your medical license could be in jeopardy—and you...more
Medical professionals, patients, and others can commit healthcare fraud by deceiving the healthcare system, such as providing medically unnecessary services, in order to get unauthorized benefits or payments. Facing...more
Clinical laboratories have come under increased scrutiny in the past few years, especially those that deal with COVID-19 testing or drug testing.
These federal investigations can be surprising and confusing for lab...more
4/5/2022
/ Anti-Kickback Statute ,
Centers for Medicare & Medicaid Services (CMS) ,
Civil Liability ,
CLIA ,
Clinical Laboratories ,
Criminal Liability ,
Defense Strategies ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
FBI ,
Food and Drug Administration (FDA) ,
Health Care Providers ,
Healthcare Fraud ,
Investigations ,
OIG ,
Penalties ,
Physicians ,
Stark Law
The COVID-19 pandemic increased the business opportunities available to clinical labs, including molecular and respiratory labs. As the nation—and the world—struggled to develop adequate testing infrastructure, the federal...more
1/19/2022
/ Audits ,
Clinical Laboratories ,
Coronavirus/COVID-19 ,
Defense Strategies ,
Department of Health and Human Services (HHS) ,
FBI ,
Health Care Providers ,
Healthcare Fraud ,
Investigations ,
Medical Billing Codes ,
Medical Necessity ,
OIG ,
Patient Referrals ,
Physicians
The United States Department of Justice (DOJ) is the federal agency tasked with enforcing a wide range of federal laws and regulations. When the DOJ suspects that an individual or business has violated a federal law or...more
For diabetic patients and the doctors who treat them, blood sugar levels are crucially important. However, the traditional method of testing one’s blood sugar with a pin-prick is undesirable for many patients, which leads to...more
Section 206 of the Investment Advisers Act of 1940 is one of the many laws the U.S. Securities and Exchange Commission (SEC) uses to combat investment fraud. Under Section 206, investment advisers can face enforcement action...more
The Food and Drug Administration (FDA) is the federal agency charged with ensuring the safety of foods, medications and other consumer products sold in the United States....more
The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more
9/7/2021
/ Broker-Dealer ,
Churning ,
Defense Strategies ,
Enforcement Actions ,
Evidence ,
Initial Coin Offering (ICOs) ,
Initial Public Offering (IPO) ,
Insider Trading ,
Investigations ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Firms ,
Market Manipulation ,
Misappropriation ,
Misrepresentation ,
Omissions ,
Publicly-Traded Companies ,
Regulatory Violations ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Fraud ,
Securities Violations ,
Statutory Violations ,
Subpoenas ,
Unregistered Securities ,
Wells Notice ,
Witness Statements
Cardiovascular stress testing to diagnose patients with coronary artery disease (CAD) and other related types of conditions can be a highly-effective tool in many cases. In fact, many cardiologists routinely recommend stress...more
8/24/2021
/ Audits ,
Centers for Medicare & Medicaid Services (CMS) ,
Department of Health and Human Services (HHS) ,
Department of Justice (DOJ) ,
Documentation ,
False Billing ,
Health Care Providers ,
Investigations ,
Local Coverage Determinations (LCDs) ,
Medical Necessity ,
Medicare ,
Medicare Fraud ,
OIG ,
Policies and Procedures ,
Stress Tests
Clinical laboratories such as respiratory and clinical labs that bill Medicare, Department of Health and Human Services (“DHHS”) programs, and other federal programs are subject to oversight by the Office of Inspector General...more
7/14/2021
/ Chief Compliance Officers ,
Clinical Laboratories ,
Compliance ,
Compliance Commitees ,
Coronavirus/COVID-19 ,
Criminal Prosecution ,
Defense Strategies ,
Department of Justice (DOJ) ,
False Billing ,
Fraud and Abuse ,
Health Care Providers ,
Healthcare Fraud ,
Indictments ,
Investigations ,
OIG ,
Policies and Procedures ,
Virus Testing
The U.S. Securities and Exchange Commission (SEC) investigates companies (and individuals) for a broad range of federal offenses. This includes offenses that are both civil and criminal in nature, and that can carry penalties...more
5/4/2021
/ Civil Liability ,
Corrective Actions ,
Criminal Liability ,
Defense Strategies ,
Enforcement Actions ,
Investigations ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation ,
Securities Violations ,
Subpoenas
Companies of all sizes and in any industry would need effective corporate compliance programs. An effective compliance program not only mitigates risk in terms of reducing the likelihood of mistakes that can lead to...more
4/27/2021
/ Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Corporate Culture ,
Documentation ,
Employee Training ,
Enforcement ,
Internal Audit Functions ,
Internal Reporting ,
Investigations ,
Policies and Procedures ,
Risk Management ,
Risk Mitigation