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Sanger & Swysen Santa Barbara Criminal Defense Lawyers and Civil Trial Attorneys Santa Barbara Office: 233 East Carrillo Street, Suite C, Santa Barbara, California 93101 Tel:805-962-4887 Fax: 805-963-7311 E-mail: lawyers@sangerswysen.com Santa Maria Office: 301 East Cook Street, Suite A, Santa Maria, California 93454 Tel:805-349-7973 Fax: 805-963-7311 E-mail: lawyers@sangerswysen.com
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Call,
805-962-4887 (24 hour emergency
page after hours) or
Government Investigations"The Postal Inspector Only Rings Once"This is an age of ever increasing criminalization. Corporate executives seldom had the need for criminal defense attorneys but now, especially in heavily regulated areas, their services are used as an aspect of the ordinary course of business. Criminal investigations are not only commonplace but the aftermath of criminal indictment of the company or its principals is increasingly devastating. Corporate lawyers and executives have to be alert to the first signs of a government investigation in order to react promptly before criminal charges are brought. Warning Signs Metaphorically, and quite literally, when the Postal Inspector makes his or her presence known, the business and its lawyers need to take action immediately. This applies equally to the Special Agents of the FBI, Customs, DEA, IRS-CID or more obscure agencies, such as the criminal investigation divisions of the FDA, the State Department, the Oceanographic Department, the Department of Education and countless others. The appearance of any federal Special Agent, or state or local police official, should be not be ignored. The appearance may seem innocuous. It may not even be clearly related to the company itself. For instance, it may come to the attention of the company through its staff or corporate counsel that one of its vendors received a grand jury subpoena for records. The investigation may or may not involve the company but no time should be lost in making contact with the government to determine whether the company is a potential subject or target. Dangers Failure to immediately intercede may result in indictment and eventual sentencing which may include prison time for individuals and fines, forfeitures and disgorgement for both individuals and the business organizations. Of course, corporate compliance programs and corporate internal investigations in place before the commencement of any government criminal investigation are most valuable in avoiding prosecution or the harshest treatment in the event of prosecution. But, whether or not compliance and internal investigations were in place, as soon as there is any hint of governmental investigation work should commence to avoid the Draconian effect of the individual and organizational sentencing consequences. What Can Be Done Experienced criminal defense counsel can often determine immediately who is in charge of the investigation. He or she can then talk to the Assistant United States Attorney, the deputy district attorney or other prosecutor or, in some cases, to the agent directly. It is critical in most cases to establish a dialogue and to try to avoid indictment. Criminal defense counsel can immediately commence a confidential investigation. In addition, counsel can begin to sort out issues related to attorney/client privilege, to the preservation of statements and evidence, to the production of documents if requested and to arranging for conflict free representation of the members of the control group, the corporation and key employees, if necessary. Joint defense agreements can be entered into under appropriate circumstances. Even if an indictment is inevitable, early preparation is crucial. The government may take years to prepare its case before indictment. The indictment is sought through a secret grand jury process, where the government has a chance to preview its case. However, once the defendant goes to court on the indictment, the defense lawyers may have only a matter of weeks before trial. Conclusion Early intervention in response to the first hint of a government investigation may be critical to avoiding indictment of individuals or the business itself. The potential penalties are so great under many circumstances that conviction can have devastating effects. Even if, or especially if, indictment is inevitable, there is much work which can be done to prepare the defense both factually and legally. so, if the postal Inspector rings only once, that should be a sufficient call to action.
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