Federal investigations involving doctors, executives and licensed professionals

Why the stakes are different

Professionals are often investigated for conduct tied to their work: billing, prescribing, financial reporting, contracts or taxes. That means the evidence is often your own records, and the witnesses are often your own staff.

A conviction, or even a plea, can trigger consequences outside the criminal case. Those consequences should be part of every decision, from whether to give an interview to how a case is resolved.

License and career consequences

• Health care licenses. Under Florida Statutes § 456.072, a conviction, finding of guilt or plea of guilty or no contest to a crime related to the practice of a profession is grounds for discipline, regardless of adjudication.
• Reporting duty. The same statute makes it grounds for discipline to fail to notify the licensing board in writing within 30 days after a conviction, finding of guilt or no contest plea for any crime in any jurisdiction.
• Federal health program exclusion. Under 42 U.S.C. § 1320a-7, conviction of certain program-related, patient abuse, health care fraud and controlled substance offenses requires exclusion from federal health care programs, generally for at least five years.
• Other licenses. Lawyers, accountants, brokers and other licensed professionals face their own rules. Check them before any decision about a plea.

For a health care license, a plea can count even without adjudication.

Business counsel and your own counsel

A lawyer retained by your company or practice represents the organization, not you. Under Florida Bar rule 4-1.13, when the organization’s interests are adverse to yours, that lawyer must explain who the client is.

The Justice Department tells prosecutors to focus on individuals from the start of a corporate investigation, and to expect a cooperating company to identify all individuals involved. If you own, run or work at the company, you may need a lawyer whose only duty is to you.

Statements and records

Professionals are used to explaining themselves. In a federal investigation, that instinct can be dangerous. A knowingly and willfully false statement to a federal agent is a crime under 18 U.S.C. § 1001, and the Supreme Court has held that a simple false denial counts.

Changing or deleting records after you learn of an investigation can be charged as obstruction. Preserve everything and let your lawyer manage any production.

How Kaufman Legal Group can help

Jason Kaufman has tried more than 90 cases and is a Criminal Justice Act panel attorney in the Southern District of Florida. He works with Phil Horowitz, who has practiced criminal defense since 1985, and Victor E. Rocha, who was admitted to The Florida Bar in 1983 and speaks Spanish. Together they have more than 100 years of combined experience.

The firm represents doctors, business owners, executives and other professionals in federal investigations and prosecutions, with attention to the career consequences of each decision. The first consultation is free and confidential. Call (954) 648-8965.