R. Joseph Burby, IV

• Represented a specialty pharmacy in a DOJ criminal investigation of Medicare and Tricare billing for compounded therapies that allegedly were not medically indicated. Following a presentation to the government, the client was not charged.
• Represented the director of the genomics division of a clinical laboratory in a U.S. Attorney’s Office investigation of alleged Medicare billing fraud related to the lab’s genetic testing activity. The client was not charged.
• Represented a major university health system in responding to a HIPAA compliance review initiated by the U.S. Department of Health and Human Services’ Office for Civil Rights concerning parental access to children’s electronic health records. No action was taken against the client.
• Represented an orthopedic surgeon in a DOJ criminal investigation of research grants and consulting fees he received from a pharmaceutical company for using and promoting the company’s products in alleged violation of the Anti-Kickback Statute. The client was not charged.
• Represented a former hospital CEO in a criminal investigation by the U.S. Attorney’s Office into alleged violations of the Anti-Kickback Statute based on the hospital’s relationship with a large physician group. The client was not charged.

Securities Enforcement

• Represented the senior executive of a major credit reporting agency in parallel insider trading investigations and actions by the DOJ and SEC after the executive exercised options and sold stock shortly before the company’s announcement of a massive data breach.
• Represented a major financial institution in an SEC investigation of its proprietary trading division for allegedly mismarking CDS portfolios during the financial crisis to conceal hundreds of millions of dollars in losses. No action was taken by the SEC, and the investigation was closed.
• Represented a broker-dealer in a FINRA investigation concerning the supervision of a financial advisor who misappropriated over $5 million in client funds.
• Represented a CPA firm and its principals in an SEC investigation of the firm’s involvement in the EB-5 Immigrant Investor Program. No action was filed by the SEC, and the investigation was closed.
• Represented a former investment advisory representative in response to a formal SEC investigation and parallel enforcement investigation by FINRA concerning approximately $200 million in real estate investment and development activity.
• Represented the managing member of an investment adviser in parallel SEC and DOJ investigations concerning alleged misrepresentations to investors and misuse of investor funds for personal expenses. No actions were filed against the client.
• Represented one of the world’s largest banks in an SEC insider trading investigation of its wealth management division after a trader purchased bonds shortly before they were redeemed by the issuer at a higher price. No action was filed by the SEC, and the investigation was closed.
• Represented the CFO of a nationwide department store chain in an SEC investigation of accounting errors that resulted in restatement. No action was filed against the client.

Internal Investigations

• Engaged by the Florida Board of Governors to lead an independent investigation into the University of Central Florida’s improper use of restricted state funds for capital projects. The investigation uncovered UCF’s misuse of nearly $100 million in state funds on over a dozen capital projects during a 10-year period.
• Represented a multinational manufacturing company in an internal whistleblower investigation that uncovered a multimillion dollar vendor fraud scheme involving the company’s senior IT leadership, resulting in employee terminations and a criminal referral to the DOJ that resulted in multiple federal convictions.
• Conducted an internal investigation on behalf of the audit committee of a major non-profit organization into the propriety of certain capital expense payments and related accounting entries. We presented our findings and recommendations to the audit committee, board of directors, and outside auditors.
• Engaged by the inspector general for a state university system to investigate potential antisemitic activity at one of the system’s institutions in the wake of the October 7 Hamas attack on Israel and resulting war, including preparation of a detailed written report with our findings and recommendations.
• Conducted an internal investigation for a global health care conglomerate focused on the suspected diversion of medical device products at a major distribution center of its medtech subsidiary.
• Conducted an internal investigation for a nationwide originator of residential mortgage loans to identify and evaluate potentially illicit payments to affiliates for compliance with the Real Estate Settlement Procedures Act (RESPA) across a multibillion-dollar loan portfolio. Our investigation found instances of fraud that were reported to regulatory authorities and resulted in action against certain individuals.
• Conducted an internal investigation on behalf of the audit committee of a regional bank into allegations the bank’s president caused certain assets to be overvalued, resulting in reports to the audit committee, board of directors, and banking regulators. No action was taken against the bank by regulators.

FDA Enforcement

• Represented the quality assurance manager of a major food manufacturer in a DOJ/FDA criminal investigation and putative class actions following a nationwide salmonella outbreak. The client was not charged.
• Represented a physician in a DOJ/FDA criminal investigation for alleged misbranding in the sale of unapproved drugs for weight loss and related controlled substance prescriptions. Negotiated a plea to a misdemeanor offense and no jail time. A related investigation by the state medical board was closed with no action taken.
• Represented a national restaurant chain in responding to an FDA warning letter following E. coli and salmonella outbreaks in several states allegedly traced to food served at restaurants. No enforcement action was taken against the client.
• Represented a meat processing and manufacturing company in a USDA misbranding investigation following a major product recall. In addition to interfacing with USDA and responding to their requests, we advised the client on corrective actions, including enhancements to their food safety program. No enforcement action was taken against the client.

Bank Regulatory Enforcement

• Defended three national banks in administrative enforcement proceedings brought by the OCC for alleged unsafe and unsound banking practices related to the banks’ investment activities and risk management practices.
• Represented a state bank in a threatened FDIC enforcement action for alleged violations of Section 5 of the Federal Trade Commission Act and a parallel DOJ civil fraud investigation of the bank’s ACH processing division. No action was taken against the bank by the FDIC or DOJ.
• Represented a bank director in parallel investigations by the FDIC and Texas Department of Banking regarding alleged conflicts of interest and false statements. No enforcement action was filed, and the investigations were closed.
• Represented a bank president in parallel OCC and U.S. Attorney’s Office investigations of alleged self-dealing and embezzlement. After settling with the OCC for a modest fine and ban from banking, we resolved the criminal case through a misdemeanor plea and sentence of probation.
• Represented the CFO of a failed national bank in a DOJ criminal prosecution and parallel OCC enforcement action related to an alleged scheme designed to conceal the bank’s financial condition. Despite an alleged fraud loss of over $90 million, negotiated a plea to a minor felony with a binding sentence of just 20 months in custody.
• Conducted an internal investigation for a state bank of a loan fraud scheme involving a loan officer and borrower, including preparing disclosures to regulators and a referral to law enforcement. We continued to represent the bank as a victim in the subsequent criminal prosecution, helping to secure a conviction and multimillion-dollar restitution order.

Antitrust Enforcement

• Represented a health care executive in a federal grand jury investigation led by the DOJ Antitrust Division into alleged non-solicitation and “no poach” agreements. The client was not charged.
• Represented the executive and board member of a billion-dollar poultry producer in a DOJ Antitrust Division criminal investigation of alleged price fixing and parallel private antitrust class actions. The client was not charged.
• Represented the CEO of an engineering firm in a years-long DOJ Antitrust Division grand jury investigation of alleged bid rigging and bribery in connection with major construction project.
• Represented multiple foreign executives of a global auto parts manufacturer in price fixing and bid rigging investigations by the DOJ Antitrust Division and European Commission.
• Represented an individual in a DOJ Antitrust Division criminal investigation of alleged bid rigging in real estate foreclosure auctions. The client was not charged.

Immigration Enforcement

• Represented a major food distribution company in a U.S. Attorney’s Office and Department of Homeland Security (ICE) criminal investigation into the alleged employment of undocumented workers and parallel Form I-9 inspection. Negotiated a deferred prosecution agreement, avoiding charges against any employees.
• Represented a textile manufacturer in a DOJ/ICE criminal investigation regarding the employment of undocumented workers. Resolved the matter through a deferred prosecution agreement, avoiding charges against the company and its employees.
• Counseled a national homebuilder on its hiring policies and procedures for responding to an ICE raid and other potential immigration enforcement activity.

Environmental Crimes

• Represented a manufacturing company in a criminal investigation by the U.S. Attorney’s Office and EPA of alleged Clean Water Act violations involving allegedly falsified testing results. The client was not charged or fined.
• Represented employees of a national home improvement retailer in a DOJ and EPA criminal investigation for allegedly failing to follow lead-safe renovation practices in violation of the Toxic Substances Control Act. No clients were charged.
• Represented the employees of a manufacturing company in a DOJ/EPA criminal investigation of alleged Clean Water Act violations following a chemical spill at a plant. No clients were charged.

Other White Collar Matters

• Represented an individual charged with trafficking in counterfeit goods and various other intellectual property crimes. The client was acquitted of all charges following a two-week jury trial in federal court.
• Represented an importer and seller of fashion accessories in a U.S. Attorney’s Office and U.S. Customs & Border Protection investigation involving allegations the company avoided paying millions of dollars in customs duties by underreporting the value of goods it imported. The client was not charged.
• Represented the owner of a foreign currency exchange company at sentencing following his conviction at trial on fraud and money laundering charges. The government claimed the business generated over $600 million in fraudulent revenue, but after a week-long evidentiary hearing, the court ruled that the fraud loss amount was less than $1.5 million, dramatically reducing the client’s advisory guidelines sentence.
• Represented an executive of a cigarette broker in an investigation by the U.S. Attorney’s Office and ATF alleging the diversion of millions of dollars of cigarettes to avoid various federal and state taxes. The client was not charged.
• Represented an aircraft parts distributor in parallel DOJ and FAA investigations into the shipment of hazardous material. Negotiated a favorable settlement with the FAA for a modest fine and a non-prosecution agreement with the DOJ, resulting in neither the company nor any of its employees being criminally prosecuted.
• Represented a defense contractor accused of disclosing classified information in criminal investigation by the U.S. Air Force Office of Special Investigations. The client was not charged.
• Counseled a major international corporation on FCPA compliance and conducted an internal legal risk assessment of global operations.

Complex Civil Litigation

• Defended a seller of behavioral health assets in Delaware Chancery Court in response to fraud and breach of warranty claims related to a $20 million transaction.
• Represented the former employees of a major financial institution in a putative class action brought on behalf of the victims of Jeffrey Epstein asserting claims for damages and other relief under the federal anti-sex trafficking statute and common-law tort claims.
• Representing a major pharmacy benefit manager in the In re National Prescription Opiate Litigation, the largest multidistrict litigation in U.S. history.
• Represented a software company in an action against a competitor for tortious interference with business relations and other claims. After a week-long trial in federal court, the jury returned a verdict for our client and awarded nearly $3 million in damages, including attorney’s fees.
• Defended a health management organization in a state court action brought by a large health system alleging it was underpaid for out-of-network emergency services and seeking over $100 million in damages. Case settled for a fraction of this amount on the eve of the court’s anticipated ruling on our Daubert and summary judgment motions, which persuasively presented the weaknesses in the plaintiff’s case.
• Represented a global manufacturing solutions provider in a theft-of-trade-secrets case brought against a group of former employees and a competitor that conspired to steal the company’s confidential 3D printing technology. The case settled on favorable terms during discovery.
• Defended the parent company of a cheerleading equipment and apparel maker, and sponsor of competitive cheerleading competitions, in federal civil RICO case brought on behalf of minor victims of alleged sexual abuse by cheerleading coaches. The case settled on favorable terms after a motion to dismiss was filed.