Joe was a leader of the independent investigation and report on academic irregularities at the University of North Carolina and the investigation into certain conduct by enforcement staff at the National Collegiate Athletic Association that culminated in the “Wainstein Report,” of which he was a principal author. He remains a thought leader in the intersection of investigations and higher education. He has spoken and written widely on compliance and investigations in higher education.
Government & Corporate Investigations:
- Representation of publicly-held multinational financial firm into whistleblower allegations into alleged fraudulent conduct by subsidiary pre-acquisition; advised regarding crisis response, voluntary self-disclosure, investigation, and remediation.
- Representation of a publicly-held aerospace and defense government contractor into insider threat matter involving threat of trade secrets potentially motivated by a foreign adversary; advised with respect to crisis response, investigation, disclosure and cooperation with law enforcement and government authorities, remediation of security concerns, and public reporting requirements.
- Representation of private aerospace and defense contractor into allegations of potential impersonation of a U.S. person employed by the company by a foreign adversary; advised regarding investigation and disclosure to U.S. law enforcement.
- Representation of financial services firm in consideration of acquisition of company in emerging technology industry; devise and executive pre-acquisition government engagement strategy to mitigate risk; advice regarding risk profile; advice regarding risk mitigation strategy for potential U.S. liability.
- Representation of leading compounding pharmacy in multi-year investigation by U.S. Department of Justice into billing practices; advised regarding crisis response, engagement with law enforcement. Secured closure of matter with no action taken.
- Representation of compounding pharmacy in False Claims Act investigation prompted by civil qui tam complaint; advice regarding crisis response, engagement with law enforcement. Secured consent dismissal of all federal and state claims by realtor and governments.
- Representation of software company in federal criminal investigation prompted by internal whistleblower claims alleging violations of federal conflicts-of-interest and so-called revolving-door hiring laws and regulations; advice regarding crisis response, internal investigation, remediation, and disclosure and cooperation with law enforcement and other regulators.
- Representation of multinational software company years-long investigation by U.S. criminal and tax authorities; advice regarding engagement with Department of Justice and Internal Revenue Service.
- Representation of defense and intelligence contractor in responding to multiple cyberattacks from nation state actors and coordinating response with law enforcement.
- Representation of large retail company in business email compromise resulting in the loss of millions of dollars; coordinate investigation and engagement of law enforcement. Investigation ongoing.
- Representation of broker dealers and other financial institutions in broad range of enforcement investigations and proceedings brought by the CFTC.
- Conducted independent investigation into allegations of academic irregularities at the University of North Carolina at Chapel Hill.
- Investigation of allegations of improper conduct by investigators in the National Collegiate Athletic Association's (NCAA) Enforcement Staff and a broader review and assessment of the environment, policies and procedures of the NCAA's Enforcement Staff operations.
- Representation of global financial institution in investigation of alleged commodities market manipulation by CFTC.
- Conducted internal investigation prompted by whistleblower’s allegations of hiring of unauthorized, undocumented workers in violation of federal hiring laws.
- Investigation and due diligence review on behalf of the World Bank Group and the International Finance Corporation into the anti-corruption and anti-collusion compliance programs of companies for projects in sub-Saharan Africa and South America.
- Representation of audit committee investigating potential accounting irregularities leading to restatement of prior earnings and presentations to SEC.
- Representation of financial services firm in CFTC investigation of allegedly fraudulent trading practices.
Congressional Investigations:
- Representation of healthcare in Congressional investigation into implications of private equity ownership on U.S. healthcare; advised regarding crisis response and engagement with Congressional staff.
- Representation of law enforcement contractor in response to Congressional inquiry into private probation and electronic monitoring industry; advised regarding strategy for Congressional response and engagement.
- Representation of innovative healthcare firm in Congressional investigation into the company’s safety and security practices; advised with respect to crisis response, engagement with Congressional stakeholders, and public relations matters.
- Representation of individual investor and firm in response to Congressional investigation into private equity ownership and investment in life sciences and pharmaceutical industry.
White Collar Defense & Advocacy:
- Defend witness in Special Counsel Jack Smith’s investigation, including strategy for responding to federal grand jury subpoena.
- Defend witness in Special Counsel Robert Mueller’s investigation, including interviews and grand jury testimony.
- Defend witness in Durham investigation, including response to grand jury subpoena and interviews with prosecutors.
- Defend individual indicted in foreign bribery and money laundering case; secured favorable plea resolution.
- Defend defense contractor in multiple investigations of alleged bid-rigging and other collusive activities; secured favorable plea agreement.
- Defend elite private school in civil litigation alleging negligence contributing to student-on-student sexual assault.
- Defend financial institution in various matters before the OFAC, SEC and FINRA.
- Defend financial institution in money laundering investigation by the U.S. Attorney's Office for the Southern District of New York.
- Defend former Swiss banker in criminal tax prosecution in the Southern District of New York.
- Defend former government official in criminal investigation into post-employment restrictions and kickbacks investigation.
- Defend former intelligence community employee in multi-count grand jury indictment.
- Defend senior executive in aerospace company in criminal and civil investigations against potential violations of the Foreign Corrupt Practices Act.
- Defend multinational defense contractor in criminal investigation of potential violations of the FCPA.
- Defend government contractor in technology space involving potential allegations of fraud, gratuities, conflicts of interest and false claims.
- Defend and advocate for financial institution in voluntary disclosure to Office of Foreign Assets Control regarding potential violations; secure letter of caution with no penalty.
- Defend Fortune 500 industrial company into allegations of violations of the FCPA.
- Representation of senior executives of aerospace, defense and industrial Fortune 1000 companies in investigations by U.S. Department of Justice, Securities and Exchange Commission and other law enforcement agencies and regulators.
Compliance & Trade:
- Representation of industrial conglomerate in anti-corruption due diligence for acquisition of foreign company with global operations.
- Engaged by large retail chain with pharmacy operations to conduct review of compliance with Controlled Substances Act and implementing rules and regulations and Drug Enforcement Administration regulations.
- Engaged by Fortune 100 software company to conduct global anti-corruption policy review and recommend enhancements to same; further engaged to opine on propriety of changes to third party vetting process.
- Global compliance review, including due diligence of third parties around the world, for defense contractor.
- Regular outside counsel to two separate global software companies on anti-corruption and international trade matters.
- Design and development of global anti-corruption, economic sanction and anti-money laundering compliance programs for numerous Fortune 1000 companies in the defense, industrial, financial and consumer products spaces.
- Representation of two different Chinese buyers of U.S. industrial assets in reviews by CFIUS.
