Regulatory Investigations
Enforcement, Administrative, and Licensing
An enforcement action is a term for civil actions brought by government investigators and attorneys against businesses, corporations, and employees for actions in violation of federal, state, county, or city statutes and regulations. Violations of civil and regulatory rules can carry severe financial burdens, loss of licenses, and even criminal liability and penalties.
Focus Areas:
- Civil Enforcement Investigations and Actions
- Administrative Investigations and Actions
- Professional Licensing Investigations and Actions
Civil Enforcement Investigations and Actions
Civil enforcement actions involve city, county, state, or federal investigative agencies taking actions to determine whether violation of a regulatory statute has occurred and who was involved and attempting to obtain evidence pertaining to the allegations. The investigation could involve formal or informal interviews, financial audits, or requirements to produce financial documents or other records.
When they need our services
- Subject of Department of Labor investigation into violations of the Family and Medical Leave Act.
- Subject of Department of Health investigation into a Healthcare Fraud.
- Subject of Securities and Exchange Commission investigation into allegations of Securities Fraud.
Why they need counsel
Businesses and their employees operating in a regulated industry are all potential targets of enforcement actions. Civil enforcement actions can have serious consequences for businesses and their employees. Investigations may lead to filing official civil, or even criminal, charges that can expose a business to severe financial penalties, sanctions preventing the continued operation of the business, loss of ability to obtain government contracts, and overall loss of reputation and standing in an industry.
Why CLF
We have extensive experience dealing with enforcement actions as they relate to businesses and their employees. We understand how to help clients get themselves out of the crosshairs and find resolutions before an enforcement action is initiated. If an enforcement action is initiated against a client, we know how to reduce their potential liability and exposure and negotiate more favorable settlements.
Administrative Investigations and Actions
Administrative agencies are created by the U.S. Constitution, Congress, state legislatures, and local lawmaking bodies to manage contingencies, redress serious social problems, and manage complex matters of governmental concern. An administrative investigation or action involves such an agency taking actions to enforce its own regulations against a person or business.
When they need our services
- Subject of Federal Aviation Administration investigation into violation of orders, regulations and policy.
- Received Subpoena from Department of Defense to provide records related to contractor investigation.
- Subject of Department of Health administrative review of allegations of Health Care Fraud.
Why they need counsel
Administrative investigations and actions are highly complex matters that can carry significant penalties to a person’s business and livelihood. Dealing with a range of agencies with their own ways of operating presents unique legal and negotiation strategies that even seasoned attorneys inexperienced with this advanced niche of practice find insurmountable. While each agency may have their own unique processes and procedures, what is true across the board is that administrative investigations and actions often directly lead to a future civil or criminal action on similar grounds or occur in tandem with the same.
Why CLF
We have extensive experience dealing with a multitude of government agencies and their administrative actions. We have experience dealing in tandem with potential or pending related criminal and civil matters. We know how to effectively leverage all pending matters to get the best result for our clients and limit their exposure to liability and penalties.
Professional Licensing Investigations and Actions
Licensed professionals, including doctors, lawyers, pilots, etc. fall under the jurisdiction of multiple regulators and licensing agencies.
When they need our services
- Medical practitioner alleged to have committed an act of Medical Malpractice.
- Legal practitioner alleged to have committed an act of Legal Malpractice.
- Licensed professional alleged to have committed a criminal act related, or unrelated, to their practice.
Why they need counsel
A government inquiry or adverse actions can jeopardize the professional credentials of the professional and their business. Professionals can face multiple and concurrent inquiries by licensing, civil, administrative, or criminal agencies. It is important to have experienced counsel assist in these instances.
Why CLF
We have extensive experience working in these complex and often unique environments and understand how to help professionals preserve their livelihoods and professional investments. We know how to effectively represent our client in tandem with interrelated civil and criminal matters and reach for a global solution that preserves our client’s license, limits their liability, and protects their rights.
“Our business is in a highly regulated industry, and Kris proved to be capable and knowledgeable about the depth of legal requirements that we were facing. Costello Law Firm provided high quality legal services and represented our interests well. Her firm prepared our company for a successful DOL audit regarding trust accounting. We would highly recommend her to future clients.”