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Leadership examples in criminal and civil fraud resolutions

United States v. Michael Morin, Case number 1:08CR00296-001

I led an investigative team, including the FBI, that obtained one of the few securities fraud convictions in the WDNY. Mr. Morin, former owner of SPOT Coffee, issued private securities to investors and failed to inform them of an outstanding FICA tax debt in the approximate amount of $750,000.00. Mr. Morin was convicted of 15 U.S.C.§78j(b), manipulative and deceptive devices, and sentenced to an eighteen month term of incarceration.

United States v. National Air Cargo, Inc., Case number 1:07CR00254

I led the civil investigation and primarily developed the criminal grand jury investigation in this defense fraud action. The investigation required multifaceted coordination involving the Defense Contract Audit Agency, the Defense Criminal Investigative Service, the FBI, the Department of Army Criminal Investigative Division and other agencies of the Armed Service. The investigation further required meeting at the Pentagon with the Secretary of the Air Force and the Undersecretary for Transportation and Logistics. National Air Cargo was convicted of 18 U.S.C. §1001, falsification of a material fact to the government, concerning the inflated charge for a military shipment. The civil and criminal resolution totaled $28,000,000.00.

United States v. Steven Bernstein, Case number 1:08CR00375

I led the criminal investigation involving the Department of Labor of the defendant’s failure to deposit in trust ERISA funds contributed by the employees of Copies, Inc. The defendant was convicted of 18 U.S.C. 664 concerning embezzlement from an employee benefit plan.

United States ex rel. Bates and Patrick v. Kyphon Inc., Case number 1:05CV06568

I led the civil investigation involving HHS OIG, the FBI, DOJ and CMS involving the alleged site of service misconduct by the defendant. The complaint alleged that Kyphon, Inc. promoted the kyphoplasty procedure to hospitals as an inpatient only procedure for Medicare patients. At the time, the qui tam was the first of its kind in alleging site of service misconduct due to the difficult liability predicate in proving the recklessness of the previously inviolate admission decision of the physician provider. Kyphon, Inc. settled and paid $75,000,000.00 in compromise of False Claims Act and common law causes of action.

United States ex rel. Bates and Patrick v. Kyphon Inc., Case number 1:05CV06568

I thereafter led the follow up effort against the institutional providers implicated in the same scheme. The present settlements exceed $50,000,000.00. See, e.g., http://www.justice.gov/opa/pr/2012/February/12-civ-173.html.

In re Ultralife Batteries, Inc.

I led the civil investigation involving the Defense Criminal Investigative Service, Department of Army, Criminal Investigation Division, DOJ and Defense Contract Audit Agency concerning alleged Truth in Negotiation Act (TINA) and False Claims Act allegations of wrongdoing. The government alleged in this defective pricing investigation the defense contractor falsely certified certain cost and pricing certifications. The contractor settled for $2,700,000.00 in compromise of liability.

United States ex rel. Feins v. Genesee Valley Cardiothoracic, Case number 97CV6502

I led the civil investigation involving the FBI, HHS OIG and CMS concerning the difficult liability predicate of the medical necessity of an assistant attending physician in an Coronary Artery Bypass Graft procedure. The government alleged the cardiothoracic fellow obviated the necessity of an additional payment to the GVC assistant attending physician. The parties settled for $2,000,000.00–a significant qui tam settlement for that time period.

United States v. Lawrence Davis and Michael Groh, Case numbers 1:10CR00314 and 1:10CR00323

I led the criminal tax investigation in this multiple defendant action involving a six figure tax loss for multiple violations of tax evasion, 26 U.S.C. §7202. The defendants plead guilty to eight counts of tax evasion.

United States v. Charles Livecchi and CRL Management, Inc., Case number 03 CV6451

I led the civil team, including HUD OIG, through a five day trial resulting in a judgment in favor of the government for the requested relief of approximately $1,000,000.00. The government sought relief through the double damages provision of the HUD Equity Skimming statute, 12 U.S.C. 1715z-4a.

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