Archives: Practices

SEC Whistleblower Attorneys

Following the corporate and financial scandals of the early 2000’s – think Enron, WorldCom, Bernie Madoff, and the like – Congress in 2010, as part of the Dodd-Frank Act, created the SEC Whistleblower Program as a way to deter financial fraud by empowering ordinary individuals to come forward with original information of violations of securities law violations, and rewarding them with financial compensation in the process.

Since 2011, the SEC Whistleblower Program has paid out over $1 billion in compensation to individuals who have acted as whistleblowers in providing information to the SEC that led to successful SEC enforcement actions. While oftentimes a whistleblower is an employee of an organization where financial wrongdoing has taken place, even an outsider with evidence of wrongdoing may be eligible for compensation under the program.

It is important to work with experienced whistleblower counsel in bringing forward information leading to a successful SEC whistleblower reward, in order to best develop and present your information to the SEC, while protecting yourself from retaliation and other collateral consequences in the process, and the experienced attorneys of Zweiback, Fiset, and Zalduendo have the skills necessary to guide you through each step of the process in pursuing your SEC whistleblower action.

SEC Whistleblower Reward Program

A whistleblower who provides information to the SEC leading to a successful enforcement action leading to monetary sanctions exceeding $1 million is eligible to receive an award of between 10 and 30 percent of the monetary sanctions imposed in such an action. Past SEC enforcement actions have led to whistleblower rewards in the amounts of $114 million, $110 million, and $50 million, respectively.

In determining what percentage of the monetary sanctions should be rewarded to the whistleblower, the SEC uses the following criteria:

• The significance of the information provided by the whistleblower to the success of the enforcement action
• The degree of assistance provided by the whistleblower and any legal representative of the whistleblower in an enforcement action
• The interest of the SEC in deterring violations of securities laws by making awards to whistleblowers who provide information that lead to the successful enforcement of such laws; and
• Any such additional relevant factors that the SEC may establish by rule or regulation.

SEC Whistleblower Lawyers’ Tips to Qualify for an SEC Whistleblower Award

Again, it is not necessary for a whistleblower to actually have been employed by a company engaged in wrongdoing, although many whistleblowers are indeed such employees. To be a successful whistleblower, you must provide the SEC with information in writing that relates to a possible violation of federal securities laws that has occurred, is ongoing, or is about to occur, and that information should be significant enough that it may eventually lead to the imposition of monetary sanctions of over $1 million.

In the SEC’s own words, “the more specific, credible, and timely a whistleblower tip, the more likely it is that the tip will be forwarded to investigative staff for further follow-up or investigation.” The SEC encourages whistleblowers to provide information that “identifies individuals involved in the scheme, provides examples of particular fraudulent transactions, or points to non-public materials evidencing the fraud.”

Any violation of federal securities laws may form the basis of a successful whistleblower tip, and the SEC is particularly interested in evidence of wrongdoing related to:

• Ponzi schemes, pyramid schemes, or high-yield investment programs
• Theft or misappropriation of funds or securities
• Manipulation of a security’s price or volume
• Insider trading
• Fraudulent or unregistered securities offerings
• False or misleading statements about a company
• Abusive naked short selling
• Bribery of foreign officials (Foreign Corrupt Practices Act or “FCPA” violations)
• Fraudulent conduct associated with municipal securities transactions or public pension plans
• Initial coin offerings (ICOs) and cryptocurrencies

A person may submit a tip to the SEC Whistleblower Program anonymously, but that person must be represented by legal counsel to be eligible for a financial reward.

SEC Whistleblower Protection Against Retaliation

Many potential whistleblowers are justifiably concerned about retaliation they might endure as a result of exposing wrongdoing. After all, it is not unthinkable that those who violate federal securities laws to enrich themselves might take unjustified actions against those who threaten to bring their illegal action to light.

The SEC whistleblower program, however, includes specific prohibitions against retaliation. Pursuant to federal law, no employer may – either directly or indirectly – discharge, demote, suspend, threaten, harass, or in any other manner discriminate against a whistleblower because of the lawful acts of a whistleblower in providing information to the SEC in pursuing a whistleblower action.

If an employer is found to have wrongfully retaliated against an employee in pursuing a whistleblower action, the employee can obtain: 1) reinstatement in their prior position; 2) 2 times the amount of back pay otherwise owed to the employee; and 3) compensation for litigation costs and attorney’s fees.

In addition to the above protections, SEC regulations prohibit any person from taking any action to prevent a whistleblower – whether that whistleblower is an employee of the potentially offending entity or not – from communicating with the SEC about a possible securities law violation, and any person who does act to prevent a person from reporting is subject to an SEC enforcement action for having done so. Said SEC regulations also prevent any person from inducing another to sign an agreement indicating they will not report securities law violations to the federal government.

Benefits of Retaining an Effective SEC Whistleblower Attorney

In general, potential SEC whistleblowers are strongly encouraged to work with experienced legal counsel in developing and providing whistleblower tips to the SEC in order to maximize their opportunity to obtain a significant financial reward and to properly protect themselves against retaliation.

If you have information that you believe may form the basis of an SEC Whistleblower Reward Program submission, contact our office today to schedule a confidential consultation with one of our experienced SEC Whistleblower attorneys.

Whistleblower Claims

There is a long history in our country of courageous whistleblowers bringing attention to corporate and organizational wrongdoing – wrongdoing which often benefits a select few at the expense of all taxpayers as a whole. Whistleblowing, while courageous and important, can also be challenging, and those who do take decisive action to bring to light widespread corruption and other types of wrongdoing can face reputational and financial risks, particularly when not properly guided through the whistleblowing process. 

At the same time, whistleblowers can reap great financial rewards, particularly in the context of proceeding with whistleblowing claims under state and federal False Claims Act (FCA) statutes or federal securities law whistleblower statutes. A properly represented whistleblower pursuing claims under such statutes may in fact be able to obtain millions of dollars in financial rewards in some cases, although the route to doing so is often complex, and thus it is important to work with experienced counsel in doing so. 

Why Whistleblowers Matter

In the context of FCA and securities law whistleblower claims, those who come forward with valuable information regarding wrongdoing are providing an important and necessary service to their fellow Americans and to those directly impacted by the wrongdoing. Oftentimes, fraudulent behavior which victimizes taxpayers and investors can go completely unnoticed – even though the negative consequences of those victimized are very real – unless someone with inside knowledge of the fraud comes forward to bring it to light. Whistleblowing not only protects taxpayers and investors, but it also prevents healthy competition by preventing those who take illegal actions to enrich themselves from getting ahead in the market while honest market players struggle to compete. 

FCA Whistleblower Rewards 

The False Claims Act (or FCA) was enacted by the federal government during the Civil War as a response to unscrupulous providers of supplies to the Union forces. The FCA in essence makes it illegal to, among other things, bill the federal government for subpar, misclassified, unnecessary, or nonexistent goods or services. Today, most claims for FCA violations are brought in the context of fraudulent Medicare/Medicaid billing (i.e. upcoding services, or billing the government for medical procedures, devices, or prescriptions that were not necessary or were never provided) or in the field of military defense procurement. Additionally, FCA claims can be brought where a company or individual has illegally avoided paying the government what is properly due, such as in the area of customs fraud. 

What separates the FCA from many other criminal and civil statutes is that it essentially deputizes ordinary citizen whistleblowers who have knowledge of such fraudulent practices to pursue a claim against an offender through a private lawsuit. Once an FCA claim is filed, the federal government then has the option of joining the lawsuit. If the lawsuit is successful and/or the defendant enters into a settlement agreement, the whistleblower can then receive a reward that is a portion of the penalties imposed, typically between 15% and 30%. In many cases, a private whistleblower – who could be a CEO or a data entry clerk or simply an outsider privy to information of wrongdoing – can receive millions of dollars of compensation for their services. 

SEC Whistleblower Rewards

More recently, the Securities and Exchange Commission has adopted its own whistleblower program as part of the Sarbanes-Oxley Act reforms set in place in 2010 following a decade of corporate scandals and the recession of 2008-2009. Pursuant to the SEC Whistleblower Reward Program, a whistleblower with knowledge of violations of federal securities laws can anonymously submit information to the SEC via their attorney. Such information could relate to securities law violations such as insider trading, cryptocurrency fraud, Ponzi schemes, money laundering, improper securities offerings, and FCPA and bribery violations, among others. 

If the information provided to the SEC provides significant assistance to the agency and results in a recovery by the SEC over a certain financial threshold, the whistleblower is then eligible to receive a financial reward totalling between 10% to 30% of the entire recovery. Since the inception of the SEC Whistleblower Reward Program, the program has paid out over $1 billion to whistleblowers with some rewards totalling over $100 million apiece. 

Protect Your Interests By Working With Experienced Whistleblower Counsel

It is important to note that numerous state and federal laws provide protection from retaliation by employers and others for engaging in the protected acts of properly relating information regarding the violation of the FCA and securities laws to the federal government as part of an FCA claim or submission of information to the SEC. It is thus important to work with legal counsel who has the experience to not only assist you in compiling and submitting your information in pursuit of obtaining the largest whistleblower reward possible – while at the same time protecting victims of fraud and promoting fair market competition – but who also has the experience to protect you from retaliation and obtain justice if retaliation does occur. If you have information that you believe may form the basis of an FCA claim or SEC Whistleblower Reward Program submission, contact our office today to schedule a consultation with one of our attorneys. 

Customs Fraud

Customs Fraud In California

We all know we live in an increasingly flattening world – to quote Thomas Friedman’s 2005 book The World is Flat which examines how our world has become a global marketplace in which historical and geographical divisions among countries have grown smaller over time – and while there has been a general shift towards free trade policies over the decades, the US government continues to maintain robust laws and enforcement procedures regarding international trade, and the political pendulum may be swinging back towards more protectionist trade policies. 

Many importers are required to pay customs or import duties (also referred to as tariffs) when importing certain types of goods into the United States. While the Department of Commerce sets the custom duty rates, the U.S. Customs and Border Protection (CBP) collects and enforces the payment of such duties, and the Department of Justice – often via the offices of the 93 United Stations Attorneys stationed throughout the country – pursues criminal cases against those businesses and individuals suspected to have violated U.S. custom frauds laws. Such cases can result in millions of dollars of penalties against offending parties as well as prison time. Additionally, private whistleblower plaintiffs may pursue False Claims Act (FCA) lawsuits against those suspected of engaging in customs frauds, with the possibility of recovering substantial whistleblower rewards.

The attorneys of Zweiback, Fiset & Zalduendo have significant experience representing defendants in customs fraud cases, and the skills necessary to guide clients through the often long and complex process of a custom frauds investigation and/or litigation. Furthermore, our attorneys represent both plaintiffs and defendants in FCA qui tam lawsuits related to customs fraud. 

Major Types of Customs Fraud 

Customs duties by and large are put in place by the federal government to combat what is perceived as unfair competition by foreign countries which favor foreign businesses at the expense of domestic businesses who engage in similar business activities. Such unfair competition can include: 

• Dumping which refers to a situation where a foreign company or industry places products into the US economy at an artificially low price with the purpose or effect of putting American competitors selling those same products at higher prices out of business; and
• Foreign subsidies which refers to a situation where a foreign government subsidizes a company or industry, such that it makes it difficult for domestic competitors to compete.

Thus, US federal law often refers to customs duties as “antidumping” and “countervailing” duties (or AD/CV duties) as they serve to even the economic playing field for domestic businesses and industries.  

Customs fraud as an umbrella term refers to the illegal practice of attempting to avoid paying such duties in whole or in part. Customs fraud as it is commonly investigated and/or prosecuted by federal authorities can take a number of forms, including but not limited to the following: 

Valuation Fraud

Valuation fraud refers to the fraudulent act of misstating and/or concealing the value of imported goods to the CBP for the purpose of lowering the amount of customs duties to be paid, as customs duties are determined as a percentage of the imported goods’ value. In a recent case pursued by the Department of Justice, the offending entity employed a double-invoicing scheme by which an American apparel company used one set of invoices to pay the Chinese manufacturer of goods it was importing, but created a separate set of invoices reflecting a lower and incorrect value to be submitted to the CBP. The offending entity also created fake invoices for “sample goods” which were not subject to customs duties when in reality the products imported were not sample goods. The CEO of the offending entity was ordered to pay penalties of $1,661,617 and sentenced to six months in prison.   

Country-of-Origin Fraud

Country of origin fraud, also referred to as “transshipment”, refers to a situation where an importer routes goods from the country of origin through a second, intermediate country before importing to the United States in order to avoid customs duties that would apply to the country of origin. As one example, in 2019, a US Company agreed to pay $62.5 million in penalties to settle a customs fraud case for importing 36 shipments of saccharin that was manufactured in China but transshipped through Taiwan in order to avoid a 329% antidumping duty applied to saccharin from China, and thus evading approximately $36 million in antidumping duties. 

Misclassification of Imported Goods

Misclassification of imported goods fraud overlaps with the concept of valuation fraud, in that importers may attempt to lower their customs duties by improperly classifying products as a type of product other than what they actually are in order to obtain a lower customs duty rate, or no customs duty at all. The classification of apparel as “sample goods,” to which no customs duty applies, is one example of this. As another example, in 2016 the Department of Justice pursued a customs fraud case against three US importers who imported small-diameter graphic electrodes from China, but improperly classified the size of the electrodes, as custom duties did not apply to larger type electrodes. The companies each faced criminal and civil penalties and ultimately paid $3 million in fines to resolve the enforcement actions. 

Structuring or splitting shipments

Structuring or splitting fraud occurs where an importer divides shipments of goods into smaller portions in order to avoid customs duties, for example where there is a “de minimus” exception for imports of goods below a certain value, and the importer thus breaks up a larger shipment into several smaller shipments which each fall within the de minimus exception. 

Whistleblowers

Again, allegations of customs fraud can trigger an FCA claim, including one brought by a private plaintiff with or without government involvement in pursuing the FCA claim. While the FCA is commonly associated with fraud by which the federal government is billed for subpar, unnecessary, or non-existent goods and services in the healthcare and military defense procurement industries, FCA claims may also be pursued for customs fraud on the grounds that the federal government is fraudulently not receiving the payment of customs duties owed to it (sometimes referred as a “reverse false claim”). 

A whistleblower in the context of an FCA claim – who could be anyone from a manager of an importer aware of customs fraud to an individual involved in the actual shipping of goods to even a non-associated outsider with knowledge of customs fraud – stands to receive a financial reward of between 15%-30% of the financial penalties imposed on an entity found to have violated the FCA. Our attorneys work with whistleblowers who have knowledge of customs fraud to pursue FCA claims on their behalf, and our attorneys separately provide robust defense counsel to those individuals and entities who are facing an FCA claim and/or believe such a claim may be imminent.

Experienced Customs Fraud Representation

Our attorneys have the experience necessary to work with clients of all sizes in providing comprehensive defense counsel in defending against federal investigations into alleged customs fraud as well as federal enforcement actions. Our attorneys also serve as plaintiff’s counsel to whistleblowers with knowledge of customs fraud seeking to pursue an FCA claim. Contact us today to schedule a consultation with an attorney to discuss your customs fraud issue. 

Internal Investigations

Los Angeles Investigations Attorneys

Conducting an internal investigation of a company or organization is often a key step in responding to a government investigation (or even the threat of such an investigation) or in response to public, shareholder, or management scrutiny over the perception of perceived wrongdoing. A well-executed internal investigation can help a company or an organization better understand the presence of wrongful action (or lack thereof), and move forward in either taking corrective action and/or helping to avoid further negative consequences in the form of a government enforcement action and/or loss of public and shareholder trust. 

The attorneys of Zweiback, Fiset & Zalduendo have the experience necessary to conduct internal investigations on behalf of companies and other institutions of all sizes and across industries that help those institutions reach positive outcomes while mitigating risk. 

What Are Internal Investigations?

Internal investigations conducted by a third-party law firm can take a number of forms in a number of contexts. In the context of white collar defense, an internal investigation might be undertaken for the purposes of sharing certain findings of the internal investigation with the government in pursuit of demonstrating to the government that any potential wrongful actions have been identified and contained, and that appropriate remedial action (i.e., the termination of noncompliant employees and the implementation of procedural safeguards to prevent future violations) have been taken to avoid future issues. 

Alternatively, the purpose of an internal investigation may be solely for gathering internal knowledge on behalf of management, a board of directors, and/or shareholders to determine whether and what wrongful conduct might be occurring in an institution – whether there is a government investigation underway or not – and then taking appropriate responsive action in light of the investigation’s findings, which may include reporting those findings or not. 

In either case, it is imperative for an internal investigation conducted by a third party law firm to be conducted in a thorough and discrete manner by attorneys with the experience and skills necessary to “turn over every stone” while maintaining confidentiality and avoiding unnecessary collateral consequences. 

Common Compliance Issues Necessitating an Internal Investigation

There are any number of potential situations within a business or organization which might necessitate an internal investigation by a third party law firm conducted on behalf of management and/or shareholders, including but not limited to the following:

• False Claims Act / Procurement Fraud: Violations of the FCA which often involve healthcare fraud or procurement fraud can lead to steep financial penalties and criminal enforcement actions, thus it is important for an organization to understand if such fraud is occurring by employees and/or shareholders and respond accordingly.   
• Securities Fraud: Potential insider trading and other violations of state and federal securities laws can occur within financial institutions in manners that are not abundantly clear to management, and it is thus critical to take proactive steps to monitor, correct, and report such actions if necessary. 
• Foreign Corrupt Practices Act and Public Corruption: Many companies face significant legal liability when employees engage in bribery/corruption practices on local, state, federal and international levels (including FCPA violations for bribery of government officials in other countries), and a robust internal investigation is commonly necessitated to identify and appropriately handle such issues.   
• Sexual Misconduct: While the individual perpetrators of sexual misconduct certainly face the prospect of legal liability, how companies and organizations act to prevent and/or respond to such misconduct involves significant legal liability as well, and it is often necessary for an internal investigation to be part of such a response. 

The Internal Investigations Process and What You Should Expect

A proper internal investigation should be well-planned and well-executed to ensure confidentiality and the minimization of collateral damage while maximizing the ability of the company or organization to obtain necessary information and data. Common steps in an internal investigation include: 

• Selecting a third-party internal investigator: Third party law firms are often chosen as internal investigators for their experience, reputation, and, critically, their ability to provide confidentiality to the organization via attorney-client privilege. For this reason, prior to bringing in a third party law firm, it is important for internal/general counsel to be present and actively engaged in any preliminary investigative efforts. Often, a General Counsel’s office, the Human Resources department in some cases, and/or a Board of Directors or company management will be involved in initial assessment of a situation and a determination of whether to bring in a third party law firm and the selection of said firm.  
• Preparing an internal investigation strategy: The third party firm will work with the relevant contacts inside the organization (general counsel, human resources, etc.) to understand what information has come to the surface thus far regarding wrongdoing, and what the proper scope of the investigation should be, as well as what investigative steps need to be taken, as discussed below. 
• Interviewing relevant individuals: An internal investigation will generally involve interviews of relevant individuals within the organization who may have knowledge of specific actions and processes more generally. Typically, interview outlines will be assembled specific to each individual, and the investigators will conduct the confidential interviews and take notes to be used in assembling findings. Such interviews may or may not involve documents as discussed below.
• Collecting and examining documents: It may be necessary to collect documents from relevant individuals and departments in conducting interviews and in the accumulation of information generally for the purposes of the investigation. This can range from the request of relevant documents to a more intensive forensic collection and examination of electronic data. 
• Compiling findings: Interviews and collections of documents (as well as any other investigative steps such as visits to specific locations, consultations with outside experts, etc.) will be used in compiling the findings of the investigation. Typically, this is a rolling process that may involve preliminary findings which are then used to further guide the investigation. 
• Determining next steps: At the culmination of the investigation – or at any point during the investigation depending upon the context of the situation and the findings that are made – there will be a decision-making process on what the next steps are with respect to the findings, which may involve a number of options such as public disclosure, reporting to a government agency, a determination of corrective action, or a determination that no further steps are needed. 

Contact a Seasoned Internal Investigations Attorney

It is an old but accurate adage that how an organization responds to wrongdoing can be just as important if not more important than the underlying wrongdoing itself. Furthermore, it is often beneficial to an organization to respond to potential wrongdoing within its ranks with what might be considered an overabundance of caution in order to demonstrate that it takes oversight seriously and to prevent future wrongdoing. To schedule a consultation with a seasoned internal investigations attorney, contact our office today. 

Administrative & Regulatory Actions

Zweiback, Fiset & Zalduendo is highly experienced in administrative law and regulatory actions and can expertly assist clients in regulatory compliance matters before local, state, federal and international administrative agencies. We combine industry knowledge, extensive regulatory experience, and unrivaled litigation skills to help our clients defend against agency and industry enforcement actions.

Our attorneys also advise clients on compliance matters to develop and/or improve upon compliance policies, procedures, frameworks, and infrastructure to improve business and professional operations while mitigating the risk of future administrative and regulatory actions. Because of our firm’s lean structure and efficient approach to resolving administrative and regulatory proceedings, we are able to provide effective counsel and representation to individuals and businesses of various sizes that preserves client resources and that is fine-tuned to the overall economic circumstances of our clients.

State and Federal Administrative and Regulatory Actions

Zweiback, Fiset & Zalduendo provides counsel and defense representation to clients in maintaining compliance with state and federal regulations and in responding to administrative and regulatory compliance and enforcement actions. We are able to provide the efficient, personal approach of a boutique law firm while at the same time draw upon our attorneys’ vast experience in the highest levels of government and at a number of the nation’s prestigious law firms to help our clients navigate the complex compliance requirements and enforcement challenges presented by state and federal administrative and regulatory frameworks.

We work with clients of all sizes and life spans from startups to Fortune 500 companies in developing compliance procedures and defending against enforcement actions across a range of industries, including healthcare, municipal bodies, tech providers, manufacturers, and others. Our experience includes defending clients before such state and federal administrative and regulatory bodies as the Department of Justice (DOJ), the Drug Enforcement Administration (DEA), the Food and Drug Administration (FDA), the Environmental Protection Agency (EPA), the Federal Communications Commission (FCC), the Internal Revenue Service (IRS), the Federal Trade Commission (FTC), the California Medical Board (CMB), the California State Board of Nursing, the California Board of Pharmacy, and the California Health Authority.

International Administrative and Regulatory Actions

Individuals and entities who conduct international business and engage in cross-border activities in our ever flattening world face increasing legal challenges from international administrative and regulatory bodies. In particular, those businesses in the international environmental and data sectors find themselves under increasing pressure to comply with complex regulatory frameworks issued by the European Union and other international authorities.

Our attorneys have significant experience in providing compliance counsel to entities regarding international compliance issues and in defending entities before international administrative and regulatory tribunals. Our experience includes expertise in international privacy and data protection law pursuant to the European Union and other overseas jurisdictions and providing counsel on complex cross-borders transactions. Our attorneys have provided representation for clients before international tribunals including the International Court of Arbitration (ICC) and European Court of Justice (EJC).

Securities and Financial Regulatory Actions

Businesses, entrepreneurs, investors, fund managers, investment advisors, banks, and other financial institutions face significant compliance requirements and oversight from administrative and regulatory bodies, and our attorneys work with clients in the financial sector and those businesses and individuals subject to regulatory oversight to manage their compliance risks and defend against enforcement actions. We understand that, in addition to the costs and penalties potentially associated with financial regulatory actions, our clients face significant reputational damages, and we zealously work to comprehensively protect our clients’ interests.

We have extensive experience defending our clients in enforcement actions by the Securities and Exchange Commission (SEC), and act quickly and assertively at the first sign of an enforcement action to develop and implement defense strategies to mitigate negative consequences, secure positive outcomes, and advance improvements to compliance practices to prevent future losses. We also provide counsel and representation to individuals and entities in the financial sector facing potential compliance challenges and enforcement actions from the Financial Industry Regulatory Authority (FINRA), state attorney general offices, and other financial regulatory bodies.

Professional Administrative and Regulatory Board Actions

Physicians, healthcare professionals, attorneys, real estate professionals, mental health professionals and others must comply with applicable regulatory provisions and administrative oversight, and, as a result, can face significant reputational risks and threats to their livelihoods when faced with the loss of a license or other oversight action. Our attorneys provide comprehensive guidance and counsel to professionals facing administrative and regulatory board actions to ensure that they are provided the due process rights they are obligated to receive, and we present a robust and proactive defense on their behalf to protect their present and future financial and reputational interests. We also provide counsel and representation on appeals of administrative and regulatory board actions in addition to seeking relief for our clients in state and federal court from procedurally defective board actions.

Schedule a Consultation with an Attorney

Administrative and regulatory actions may seem initially routine but can quickly evolve and expand into complicated, long-running affairs that have the potential to negatively impact your livelihood and/or business in a significant manner for years to come. Furthermore, appealing an adverse administrative or regulatory action, either before the same body or in a state or federal court, can be a deeply complex uphill battle. Our attorneys have the experience to help clients avoid or minimize adverse administrative and regulatory actions before they arise by providing compliance counsel, and we also have the skills necessary to vigorously defend clients against enforcement actions and to appeal adverse agency decisions.

Whether you are concerned about avoiding a future enforcement action or are currently facing a challenging administrative and regulatory action, it is important to engage experienced counsel to assist in and guide your compliance procedures and enforcement action responses as early in the process as possible. The attorneys of Zweiback, Fiset & Zalduendo are committed to providing superior administrative and regulatory counsel and defense representation that powerfully defends our clients’ interests in any compliance challenge they meet. Our attorneys creatively and efficiently strategize towards positive resolutions that serve our client’s comprehensive, long-term goals. If you or your business are facing a complex administrative or regulatory proceeding or are seeking to improve your compliance infrastructure, contact our office to speak with an experienced attorney regarding your situation today.

Public Officials & Government Entities

The attorneys of Zweiback, Fiset & Zalduendo have over 30 years of experience successfully representing cities, counties, school districts, joint powers authorities, and state agencies, as well as their officials and employees in high-stakes litigation, state and federal investigations, and enforcement actions related to, among other things, bribery and corruption, civil rights violations, cybersecurity and data privacy, whistleblower claims, and discrimination claims.
We understand the unique challenges that public officials and government entities face and the limited resources often available to address the legal issues they must resolve, and we are able to provide efficient and effective counsel and representation to our clients on a cost-effective basis while bringing to the table our team of attorneys’ wide range of experience, including decades of service in the highest levels of government and at the nation’s leading litigation firms.

Public Official & Government Entity Cases We Handle

Our attorneys have worked on behalf of public officials, cities, counties, school districts and other government entities to address a wide range of legal challenges, and we have the experience and skills to assist clients across numerous issues, including the following.

Political Corruption

Our attorneys have extensive experience representing public officials and government entities in political corruption cases, including cities, counties, school districts, agencies, and city and state officials and employees. We understand the unique challenges and reputational risks that those involved in political corruption investigations and prosecutions face, and we strategically tailor our defensive approach to protect our clients’ interests and reputations while minimizing collateral consequences.

Bribery

We provide counsel and representation to public officials and government entities facing potential criminal and civil penalties – in addition to reputational damages – in a variety of legal contexts involving alleged bribery. Our attorneys have the skills necessary to guide clients through proceedings and investigations relating to Foreign Corrupt Practices Act (FCPA) and other international corruption violations; receiving bribes, kickbacks, and gifts; and other alleged improper transfers of funds, property, or favors in exchange for benefits. We provide all necessary legal services for public officials and government entities to address bribery proceedings, including conducting internal investigations, responding to enforcement actions, and defending against both state and federal prosecutions.

Obstruction of Justice and Civil Rights Violations

Public officials and government entities – including police officers, police departments, district attorney offices, state prosecutors, and other investigative and prosecutorial agencies and officials – have long faced negative consequences and adverse civil and criminal outcomes for alleged violations of the civil rights of individuals. In recent years, the focus on the civil rights liability of public officials and government entities has only increased, and there is tremendous pressure from the media and public to obtain swift redress against those alleged to have violated the civil rights of others. The consequences public officials and government entities face in these circumstances can include criminal charges and convictions, loss of one’s livelihood and reputation, and massive jury awards that can significantly deplete the resources of many cities and counties. Our attorneys have worked on behalf of numerous parties accused of wrongdoing in the public arena – including the former Sheriff of Los Angeles County and a former Los Angeles City Attorney – and we have the experience to effectively and zealously defend our clients in order to protect their freedom, financial interests, and reputation.

Cybersecurity and Data Privacy

In an increasingly technologically connected world, public officials and government entities face significant cybersecurity and data privacy threats from sources both domestic and international, and, as a result, may face liability for alleged failures to meet compliance requirements and effectively respond to external threats. We are an industry leader in cybersecurity and data privacy legal proceedings, and firm co-founder Michael Zweiback brings unrivaled experience to cybersecurity proceedings having previously served in the U.S. Attorney’s Office as the Chief of Cyber and Intellectual Property Crimes Section, Principal Advisor to the U.S. Attorney General’s Advisory Committee in Cyber Crime, and Deputy Chief of the Terrorism and Organized Crime Section. Our attorneys can provide legal counsel and guidance to officials and entities dealing with legal challenges relating to, among other things, data breaches, data loss, ransomware, and privacy law violations.

Whistleblower Claims

Whistleblower claims can threaten the interests and resources of local, state, and federal entities and public officials across a wide range of legal issues, including but not limited to: misuse of public resources, self-dealing, kickbacks, retaliation, public safety, discrimination, and harassment. The fallout from a whistleblower claim can be swift and severe for public officials and government entities, and can lead to reputational damage, costly civil lawsuits, and even state and federal criminal investigations and proceedings. Our attorneys have extensive experience both defending against whistleblower claims and can provide expert counsel guidance on proper responses to such claims and aggressive representation in defending against investigations and both civil and criminal proceedings based on whistleblower complaints.

Discrimination and Americans with Disabilities Act (ADA) Claims

Public officials and government entities can face significant civil liability for alleged violations of state and federal discrimination and civil rights laws, including liability for: gender discrimination, racial discrimination, sexual orientation discrimination, age discrimination, sexual harassment, Americans with Disabilities (ADA) violation claims, fair housing claims, and related claims. Such claims can threaten the reputation of defendants and result in large jury verdicts and settlements for plaintiffs that strain public resources. Our attorneys provide counsel to public officials and government entities to help address and mitigate litigation risk and robust defense counsel in pursuit of the dismissal of claims and/or the minimization of damages.

Speak with an experienced Public Official & Government Entity Lawyer

The attorneys of Zweiback, Fiset & Zalduendo are dedicated to zealously working on behalf of public official and governmental entity clients in order to powerfully defend their interests, minimize damages and other adverse consequences, and protect their reputations while preserving their resources. Our attorneys creatively and efficiently strategize towards positive resolutions that serve our client’s comprehensive, long-term goals. If you are a public official or work on behalf of a governmental entity facing a litigation proceeding, investigation, or other legal challenge, contact our office to speak with an experienced defense attorney regarding your situation today.

Environmental & Natural Resources Litigation

Zweiback, Fiset & Zalduendo has extensive experience representing clients in environmental investigations, enforcement actions, and litigation. Our attorneys provide expert guidance on regulatory obligations and skillful defense in both judicial and administrative actions.
Our attorneys have significant experience negotiating criminal, civil, and administrative settlements before many government entities, including the U.S. Environmental Protection Agency (EPA), U.S. Department of Justice (DOJ), Air Quality Management District (AQMD), and District Attorneys’ offices. Our expertise extends to counseling clients in federal criminal prosecutions of alleged violations of the Clear Air Act and Clean Water Act, and we have achieved favorable settlements with the U.S. Environmental Protection Agency and the U.S. Department of Justice, among others.

With decades of experience working in the highest level of government and at the nation’s leading litigation firms, our attorneys are able to provide clients of various sizes and across industries with the expert environmental and natural resources counsel and defense representation they need to tackle complex legal challenges while maintaining the efficient, personal approach of a boutique litigation firm that preserves client resources and focuses on our clients’ overall goals and economic picture.

Matters our Environmental & Natural Resources Litigation Lawyers Handle

In addition to strict federal environmental and natural resources compliance guidelines that must be met, many of our clients also face complex California state compliance requirements which can lead to investigations, enforcement actions, civil lawsuits pursued by government entities and private plaintiffs alike, and, in some cases, criminal investigations and prosecutions.

Federal Environmental and Natural Resource Investigation and Enforcement Proceedings

The United States Environmental Protection Agency (EPA) is the primary federal agency overseeing the compliance of individuals and businesses with federal environmental law. The EPA has the power to institute environmental and natural resource investigations targeting private entities and to pursue enforcement actions against those entities for violations of the Clean Water Act, Clean Air Act, and other environmental laws related to natural resources and endangered species. If successful, an enforcement action can result in significant financial penalties, injunctive relief including expensive and onerous requirements for a defendant to come into compliance with federal guidelines, and additional requirements. Furthermore, a successful federal enforcement proceeding can result in severe reputational damage for a defendant and may lay the grounds for a successful civil lawsuit by private parties. The attorneys of Zweiback, Fiset & Zalduendo understand the severe consequences for a target of a federal investigation and/or enforcement action, and have the skills and experience – including decades of experience in the highest levels of federal government – to guide our clients through federal investigations and enforcement actions and work towards the optimal outcome for our clients, including favorable settlements and the termination of investigation and enforcement proceedings.

California State Environmental and Natural Resource Investigation and Enforcement Proceedings

California is widely known for having some of the most strict and complex environmental and natural resource laws and enforcement frameworks in the nation. While the California Environmental Protection Agency (CalEPA) is the chief state agency overseeing legal issues related to the environment, individuals and businesses operating in California also must maintain compliance with oversight from the California Air Resources Board (ARB), Local Air Pollution Districts, the State Water Resources Control Board (SWRCB) and its nine Regional Water Quality Control Boards, the Department of Toxic Substances Control (DTSC), the Certified Unified Program Agencies (CUPA), the Office of Environmental Health Hazard Assessment (OEHHA), the Department of Pesticide Regulation (DPR), County Agricultural Commissioners, and the office of the California Attorney General.

Our attorneys provide compliance counsel to individuals and businesses in developing and implementing procedures, policies, and frameworks to maintain compliance with the complex requirements of California environmental and natural resource law. When investigations and enforcement actions do take place, Zweiback, Fiset & Zalduendo provides zealous defense representation to help our clients obtain favorable outcomes that minimize financial and reputational consequences.

Criminal Environmental and Natural Resource Proceedings

Individuals and businesses can face criminal penalties – including significant monetary fines and jail or prison time – for violations of a number of environmental and natural resource legal statutes, including for violations of the US Clean Water Act, the US Clean Water Act, and other hazardous waste and environmental laws pursuant to federal and California state law. In recent years, the federal government has successfully convicted thousands of individuals and businesses for violations of environmental laws and extracted billions of dollars in criminal fines. Our attorneys have significant experience in both environmental law and in defending parties against criminal prosecutions, and will zealously fight to defend you or your business in any criminal proceeding prosecuted by the Department of Justice and/or state regulators and prosecutors to protect your financial interests and your future.

Civil Environmental and Natural Resource Lawsuits

In addition to federal and state investigation and enforcement legal challenges related to environmental and natural resource law, individuals and businesses can face potentially costly civil litigation pursued by private plaintiffs and private organizations. Such lawsuits can present existential risks for individuals and businesses as the consequences can include hugely significant jury verdicts, lasting reputational damage, and complex legal proceedings that can continue for years and drain client resources. With our extensive experience in successfully resolving complex private party litigation, Zweiback, Fiset & Zalduendo is able to provide superior environmental and natural resource defense counsel for our clients while employing an efficient, lean approach that both vigorously pursues favorable outcomes and preserves client resources.

Contact our Experienced Environmental Resource Attorneys

The threat to a business of an environmental and/or natural resource investigation or enforcement action by government authorities or a lawsuit pursued by private plaintiffs can bring with it the potential for steep fines and jury verdicts, onerous compliance oversight requirements, reputational damage, and long and challenging legal proceedings. It is therefore important for individuals and businesses facing legal challenges related to environmental and natural resource issues to engage with skilled and experienced defense and compliance counsel at the first sign of such a threat to a business’ well-being and future standing.

The attorneys of Zweiback, Fiset & Zalduendo have made it their mission to provide skilled defense and compliance counsel to businesses and individuals in complex environmental and natural resource proceedings that powerfully defends our clients’ interests throughout the litigation, investigation, enforcement action, or compliance process. Our attorneys creatively and efficiently strategize towards positive resolutions that serve our client’s comprehensive, long-term goals. If you or your business are facing a complex proceeding related to environmental or natural resource issues, contact our office to speak with an experienced attorney regarding your situation today.