Case Studies

  • The conducting of an internal investigation regarding payment of tax revenues to the state of Georgia and representation before the state.  Mr. Serafini was successful in obtaining a settlement with the state that avoided the filing either federal or state criminal charges.
  • The conducting of an internal investigation of the contracting procedures of a large public school system.  The investigation resulted in the reform of the school district’s contracting procedures.
  • The representation of a medical practice group in a federal criminal investigation and a related qui tam action.  Mr. Serafini was successful in convincing the United States Attorney to not file criminal charges against his clients.  Moreover, he was able to obtain the dismissal of the qui tam suit.
  • The representation of a physician in a federal criminal investigation of billing practices.  Mr. Serafini succeeded in persuading the government not to file charges.
  • The representation of a computer security company in a joint federal and state investigation.  Mr. Serafini was able to convince the United States Attorney to not file charges.  Moreover, he negotiated a civil settlement with New York State officials that prevented the filing of any state criminal charges.
  • Mr. Serafini conducted an internal investigation of revenue recognition issues.  He then represented the company before the Securities and Exchange Commission and succeeded in obtaining a no action result from the SEC.
  • The representation of a corporate executive in an insider trading investigation before the SEC.  Mr. Serafini was able to prove to the investigators that the basis of the trading was information independently obtained and not the result of improper inside information.
  • The representation of an off shore gaming company under investigation by the federal government.  Mr. Serafini persuaded the United States Attorney not to file any charges.
  • The representation of a private corporation in defense of a civil RICO suit in federal court.  Mr. Serafini obtained the dismissal of the action.
  • The representation of the United States in United States v. John That Luong, et al., a prosecution of the leadership of a West Coast organized crime group.  After a five-month trial, the jury found all defendants guilty.  This was the first RICO conviction in federal court in San Francisco in 15 years.
  • The representation of the United States in United States v. NME Psychiatric Hospitals, Inc., a healthcare prosecution that resulted in the imposition of largest amount of fines and penalties for any non-defense government contract or procurement prosecution in the nation’s history to that time.
  • The representation of the United States in United States v. Lahue, et al., a seminal case in the development of healthcare anti-kickback jurisprudence.
  • The white collar criminal representation of the defendant in United States v. Patrick Campbell.  The government had charged the defendant with criminal violations of the federal restrictions on trading with Iran.  The prosecution grew out of a Department of Homeland Security sting operation.  Agents of Homeland Security posed as middlemen brokering a deal for the sale of 1000 tons of uranium from Africa to Iran.  The defendant, a resident of West Africa, was arrested upon his arrival in the United States.  The trial lasted one week with the jury acquitting Mr. Campbell of both counts of the indictment.  The defense focused on the lack of specific intent to violate the trade restrictions, the issue of whether the criminal statute applied extraterritorially to someone outside the United States, and issue of government entrapment.