Questions and Answers

White Collar Defense & Government Investigations

Appelbaum Law represents companies, executives and professionals in federal and state white collar investigations and prosecutions. The firm’s experience includes financial fraud, embezzlement, misappropriation, healthcare fraud, mortgage and real estate fraud, money laundering, kickbacks and other alleged financial crimes.

White collar matters often begin well before charges are filed. A subpoena, search, seizure, request for an interview or contact from investigators may be the first indication that the government is examining a company, individual or transaction. Early representation gives the defense team an opportunity to understand the government’s focus, independently develop the facts, preserve evidence and determine how and when to engage with investigators and prosecutors.

Led by former Manhattan prosecutor Sharon Appelbaum, the firm brings substantial experience in complex financial investigations and federal white collar trials. Depending on the demands of the matter, Appelbaum Law works with attorneys, investigators, forensic accountants, digital-forensics professionals, consultants and e-discovery resources to build the appropriate team.

Pre-Charge and Government Investigations

The period before a charging decision can be particularly consequential. Investigators may already be interviewing witnesses, reviewing financial records, executing warrants or developing a theory of what occurred.

Appelbaum Law represents clients during this stage by conducting an independent assessment of the evidence, evaluating potential exposure and developing a strategy based on the facts, the client’s objectives and the direction of the government’s investigation.

The firm also represents companies and institutions that are not themselves targets but become involved in another party’s investigation as corporate victims, subpoena recipients or third-party claimants.

Financial Fraud and Complex Financial Matters

Financial investigations frequently involve extensive records, complicated transactions, multiple parties and questions concerning knowledge and intent. They may also intersect with civil litigation, bankruptcy proceedings, asset seizure or investigations in multiple jurisdictions.

Appelbaum Law brings together legal, investigative and forensic resources appropriate to the matter to develop the factual record and defense strategy.

Asset Seizure and Forfeiture

The firm also represents companies and individuals whose assets or property interests are affected by criminal investigations and prosecutions, including third parties who have not been charged with an offense.

Appelbaum Law’s experience includes federal criminal forfeiture, Civil Asset Forfeiture Reform Act proceedings, Federal Rule of Criminal Procedure 41(g), ancillary proceedings and asset-preservation issues arising under California’s aggravated white collar crime enhancement.

Representative Matters

Fraud & White-Collar Defense

  • No Convictions for Real Estate Agent in Federal Felony Fraud Trial

    Successfully defended a real estate agent facing extensive jail time during a federal trial in the District of New Jersey against felony charges of conspiracy to commit wire fraud, conspiracy to commit money laundering, and aiding in the submission of a false statement to a bank. After a five-week trial in federal court, there were no convictions. Client was acquitted of one count and had no convictions on the remaining two counts. Ultimately, the client received a single misdemeanor and no jail time.
  • Represented Surgeon at Trial in a Federal Conspiracy Case 

    Represented at trial a surgeon charged in a federal health care fraud case with conspiracy, illegal kickbacks, and money laundering in the Northern District of Texas in a complicated multi-defendant case.
  • Felony Welfare Fraud Case Dismissed at Arraignment
    Felony welfare fraud case dismissed at arraignment in Los Angeles County after the firm contacted the prosecutor before the arraignment and showed proof of incorrect calculations.
  • Doctor Facing Kickback Allegations Receives Reduced Sentence
    Represented a doctor in San Diego County originally facing substantial prison time for multiple allegations regarding kickbacks and Labor Code violations. Obtained a lesser sentence on a plea to far fewer charges and minimal jail time.
  • Mortgage Loan Officer in Federal Real Estate Fraud Case Avoids Major Prison Time
    Represented a mortgage loan officer in a federal case of real estate fraud charged with multiple felony counts of conspiracy and aiding and abetting wire fraud, bank fraud, and mortgage fraud in the Central District of California. After submission of an extensive sentencing memorandum, the client pled to a single charge and received a minimal prison sentence.
  • Defended Radiologist at Trial in Federal Healthcare Fraud Case
    Represented at trial a radiologist charged by the federal government with honest services fraud, healthcare fraud, wire and mail fraud, money laundering, and taking illegal kickbacks in the Southern District of California.
  • Voter Fraud Investigation Closed Without Charges
    No charges were filed against a young professional the firm represented who was being investigated by the FBI for voter fraud in Los Angeles County.
  • Represented Community Board Member in Grand Theft Case
    Represented a local community board member charged with grand theft and facing a prison sentence in San Diego County.
  • Insurance Fraud Case with Multiple Allegations
    Represented a client against numerous allegations of falsifying insurance claims in Ventura County.

Breach Response and Crisis Management

  • Legal Support After SWAT Incident at Client’s Home
    Represented a client in the aftermath of a SWAT team tear-gassing their home while searching for a third party. Although the client was the victim, legal guidance was provided for interactions with law enforcement, home repairs, and media protection.
  • Protecting Client’s Home Security Footage from Unlawful Seizure

    Aided client who sought to prevent law enforcement from unlawfully accessing and seizing home security system footage.
  • Tech Industry Client’s Trade Secret Subpoena Quashed
    Successfully quashed the subpoena when tech industry client was subpoenaed across state lines on suspicion of stealing trade secrets from a prior employer.
  • Strategic Counsel in Response to Sexual Assault Allegations

    Advised client on possible lawsuits and criminal charges stemming from unsworn sexual assault allegations and potential public perception issues related to the case.