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Financial and Banking Industry Investigations

Banks and other financial institutions can face steep penalties in federal investigations targeting a broad range of allegations. If your institution is facing scrutiny from the CFPB, CFTC, DOJ, FinCEN, SEC, SIGTARP, or any other federal authority, you should engage experienced federal defense counsel promptly. 

I would recommend Nick Oberheiden and his team in a heartbeat. I was facing a legal issue that was promptly resolved by the firm. Highly recommend the expertise of the staff. Thank you.
Kirtan 2.
Kirtan 2.
Nick has been there since the beginning. Throughout this experience he has had made me feel like my case is his most important. He excels in his area of law and I would not hesitate to recommend him to anyone that needs assistance. I am honored to have had him help me through this period.
j A.
j A.
Quick response, very knowledgeable, passionate, with a caring team with real experiencewith the same federal agencies that I was corresponding with (Roger Bach!) thus making all the legal concerns understandable. I would recommend to any other health care professional or would use Nick Oberheiden again if ever needed.... Thank you!read more
Shaunna R.
Shaunna R.
I am compelled to recommend Nick Oberheiden after dealing with many blood thirsty attorneys. Nick was extremely responsive, knowledgeable, and trustworthy. His expertise and relationships in the realm of federal healthcare is great. I wish I would have called him sooner. If you are facing a federal investigation... or suit, make Nick the first call you make. He really cares and is looking out for his clients best interest. His expertise has allowed my situation that seemed so daunting to be very manageable.read more
Lisa K.
Lisa K.
I found myself in an unfortunate situation with the federal government. I hired Nick Oberheiden as my attorney and it has been a life saving decision. His expertise and knowledge along with his commitment is superior and of utmost importance in federal cases. Nick has kept his word throughout this stressful process... and helped me receive the best possible outcome. You will not regret hiring Nick and his law firm to defend you!!!read more
Amir K.
Amir K.
Over the past decade I have plenty of experience with health care and federal attorneys. The one that has stood by far above and beyond the most intelligent, thoughtful, straight-forward, and strategic in defense and actions has been Nick Oberheiden. Nick has achieved results that others claim they could not. He has... taken on circumstances that felt as if not winnable, and worked to create a positive outcome. Nick has become a rock and support person through my troubling time and a beacon of hope and action that things will come out in the best possible manner. There is no attorney that I could support more then Dr. Oberheiden.read more
Matt H.
Matt H.
Dr Nick Oberheiden is a truly excellent attorney in every way! He’s knowledgeable and responds to all phone calls and emails swiftly. He is concise, and puts information in understandable terms. He is happy to explain and clarify any confusing matters or material. He will put your mind at ease immediately. For me,... it was like a superhero was protecting and helping me through what was one of the most stressful situations of my professional life! Nick is worth every single bit of the five star rating from me, and from other clients who have given him five star reviews as well!read more
Katherine R.
Katherine R.
We needed legal service and advise, Nick Oberheiden made a bad situation better. Prompt service, responded to email , and phone calls, addressed the problem professionally and on time. Would highly recomend them.
John P.
John P.
I have conferred and worked with Nick on several healthcare fraud defense cases, representing doctors, laboratory/pharmacy owners, durable medical equipment providers and marketing companies all investigated by the U.S. Department of Justice. Nick's level of expertise when it comes to the intricacies of medicare... billing, operational regulations and corporate structure is unmatched. His experience and knowledge, combined with his high-level contacts within the Department of Justice, nationwide, make him an invaluable resource to anyone who finds themselves being investigated or audited by the Government. Nick is easy to communicate with, and goes above and beyond to make himself available to his clients and colleagues in their time of need.read more
Joseph N.
Joseph N.
From the moment we walked into Nick’s office, he made us feel safe and secure. Nick exemplifies kindness and compassion for his clients, qualities that I have found rare with attorneys. Nicks passion and expertise in Healthcare and Law are unrivaled.I strongly encourage and recommend others to use Nick.... Professionally, Nick is a Genius!read more
Shawn C.
Shawn C.
As a former supervising investigator with a large New York State agency investigating health care fraud, I have conferred with many defense attorneys over my thirty-year career. I can honestly say that I was not impressed with many of them, that is, until I met Dr. Nick Oberheiden. Not only is he an exceptional... attorney, who provides his clients with expert strategic legal guidance, he is highly regarded for his extraordinary character and integrity. Nick is extremely ethical and always has his clients' best interests at heart. Today, I am proud, honored and privileged to work with Nick in assisting him with his clients' needs, whether it is to determine if they have any criminal liability or to proactively establish a compliance program to prevent them from falling victim to any government audit/investigation. Nick works very efficiently - saving his clients time and money. So, if you are looking for an attorney to represent you or to offer you expert guidance, don't hesitate and contact Dr. Nick Oberheiden. You'll be glad you did!read more
Greg M.
Greg M.
I was a federal agent for over 30 years and have worked with many of the most successful DOJ and DoD attorneys. Dr. Oberheiden leads a team made up of the best former Federal, State, local attorneys and investigators that can quickly assess any type of federal legal matter. The collective knowledge and experience of... Dr. Oberheiden and his "Dream Team" have yielded successful outcomes in a significant number of federal legal matters which have benefited his clients time and time again! He and his team are determined to work each case to anticipate a prosecutor's case strategy and identity weaknesses in that strategy. Dr. Oberheiden is a relentless legal strategist that has earned him his favorable reputation among the legal community nationwide! If you want a reliable and results-oriented lawyer working for you, Oberheiden P.C. has my highest recommendation and confidence!read more
MICHAEL K.
MICHAEL K.
During the past year, i had the privilege to work alongside Dr. Nick Oberheiden as a team-member defending the owners of a specialty pharmacy being investigated by the HHS-OIG and the USDOJ. Thanks to Nick's leadership, knowledge and expertise, "Team Oberheiden" earned the pharmacy and its owners exoneration from... criminal and civil penalties. Case closed!read more
bill T.
bill T.
Excellent lawyer! I have been very happy with his legal services and highly recommend Dr. Nick Oberheiden.
Jakob S.
Jakob S.
Nick was extremely professional, polite, helpful, and friendly. He put my friend at ease and made us feel welcome to be with her. He answered our questions even though we were just there for support. Would definitely recommend him to anyone and would use myself if ever needed.
Jamie G
Jamie G
Nick is not smart, he is BRILLIANT! He knows the proceedings of the court extremely well and is a genius when working with prosecutors and judges!He is extremely hard working, and although I knew he was working on multiple cases, every time we dealt with mine, he made me feel that my case is the most important to... him. I will most certainly not be where I am, had it not been for Nick. I had worked with a couple of lawyers before Nick came so highly recommended to me, and I can tell you that he simply light years above them. Nick bats for the big leagues!!read more
Lorraine Emma De B.
Lorraine Emma De B.
I am a retired FBI Special Agent, who worked extensively with many attorneys. I find Dr. Oberheiden ti be very knowledgeable of the healthcare issues. He has a vast knowledge of all federal violations. He is very conscientious about the benefits of his clients. I saw him working around the continent of North America... to assist his clients. One of the great traits of the Oberheiden Law Firm, is that he tackles the allegations long before they reach the court stage. His capable staff is also very qualified and assist all clients as if they are the only client in their firm. I strongly recommend the Oberheiden Law Firm to anyone who has a federal case.read more
Gamal A.
Gamal A.
Nick is extremely professional and knows what he is doing. He is also very kind as a person (unless he is in court!) I would recommend him to just about anyone if they need an amazing lawyer that is top notch and would frankly be scary to face in the court room. He will always do a great job representing his clients.... Thank you very much.read more
Anna P.
Anna P.
Nick is the absolute top expert in any federal case
Jeff C.
Jeff C.
Smart. Smarter. Nick.As a healthcare executive, I once ran into a litigation issue. I hired Nick and, literally, before I knew it the case was resolved in my favor. Nick has an incredible presence and every lawyer in the room knows that Nick will do exactly what he says. It was a mesmerizing experience to see Nick in... action! Very calm and determined, Nick is the absolute top litigator.read more
Whitney Bryant M.
Whitney Bryant M.
Nick has been a friend and trusted advisor for almost 10 years. As anyone just looking at his bio can tell, Nick is an outstanding attorney in highest demand across the country. All healthcare providers should hire attorney Nick Oberheiden!! You will not be disappointed.
Pamela M.
Pamela M.
Dr. Oberheiden has served as council and represented our company on several occasions, even during depositions, contract reviews and providing invaluable advice on multiple occasions that transpired into multilevel success in our business. He and his teams knowledge of both local, state and federal statues,... accompanied by their areas of expertise law regarding best asset protection, estate planning and wealth management solutions have provided both professional and personal growth for my companies, safeguarding them and protection my family’s name and legacy. I would recommend this firm and Dr. Nick Oberheiden without hesitation. I have no doubt that you will experience success with his council.read more
Corban M.
Corban M.
I have worked with Nick Oberheiden for over ten years on various litigation matters in and around New York City. Nick is an accomplished and seasoned lawyer and litigator---efficient, reliable, practical and, at the same time, highly academic. Nick will take the time necessary to understand a client's short- and... long-term goals, and tailor his representation and advice to work toward and achieve those ends. Nick is a zealous advocate for his client, and will never sacrifice his client's interests for a quick or easy resolution to a case. At the end of the day, Nick is a great person to know if you or your business is in need of a top litigator or defense attorney.read more
Brendan C.
Brendan C.
When I was faced with one of the most terrifying and unexpected situations in my life, I called Dr. Oberheiden. I had vetted other attorneys and came right back to him. His knowledge, expertise, and reassuring presence made the decision easy. Throughout my case, his level of communication was what I needed and... expected. He constantly updated me on the status and progress of my case and was able to “talk me off the ledge” when the stress of it all would set in. He is simply the best of the best...there’s not a question about it.read more
Scarlett L.
Scarlett L.
Nick is a superb lawyer with exceptional skills and a formidable personality. Nick works harder, he thinks smarter, and he delivers faster than any lawyer you will ever find. Good, better, Nick!
Jacqueline S.
Jacqueline S.
1st class service. Atty. Iberheiden and Atty. Lynette Byrd were always available for us during the whole process of our Home Health Audit. Thank you so much!
Ed O.
Ed O.
I am a healthcare compliance consultant with almost 25 years of experience. The one advice I have for anyone seeking a lawyer with unbeatable healthcare law experience is to hire attorney Nick Oberheiden. For the past 8 years, I have worked with Nick on a variety of healthcare matters—from DEA compliance to DOL... supervisory rules to setting up PT and pain management clinics. I have never once seen a client not being 100% intrigued by Nick’s proven expertise in the field of healthcare structuring and compliance.Dr. S.T.read more
RAFT C.
RAFT C.
Nick Oberheiden is a spectacular lawyer, a true life saver. Nick is simply the very best!
Michael P
Michael P
Nick Oberheiden is the absolute best federal litigation attorney. Nick gives you the immediate comfort of feeling 100% protected. He is polite, respectful— and extremely compelling. His legal strategy turned out to be brilliant.
Marshall M
Marshall M
Great firm, with a great firm record of experienced healthcare and litigation attorneys.
Chris A.
Chris A.
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The banking and financial industries are among the most heavily-regulated industries in the United States. Banks and other financial institutions face oversight from multiple federal law enforcement authorities, and they face enormous compliance burdens in virtually all aspects of their consumer and commercial businesses.

Put our highly experienced team on your side

Dr. Nick Oberheiden
Dr. Nick Oberheiden

Founder

Attorney-at-Law

John W. Sellers
John W. Sellers

Former Senior Trial Attorney
U.S. Department of Justice

Local Counsel

Joanne Fine DeLena
Joanne Fine DeLena

Former Assistant U.S. Attorney

Local Counsel

Joe Brown
Joe Brown

Former U.S. Attorney & Former District Attorney

Local Trial & Defense Counsel

Amanda Marshall
Amanda Marshall

Former U.S. Attorney

Local Counsel

Aaron L. Wiley
Aaron L. Wiley

Former Federal Prosecutor

Local Counsel

Roger Bach
Roger Bach

Former Special Agent (OIG)

Michael Koslow
Michael Koslow

Former Supervisory Special Agent (FBI)

Chris Quick
Chris Quick

Former Special Agent (FBI & IRS-CI)

Kevin M. Sheridan
Kevin M. Sheridan

Former Special Agent (FBI)

Ray Yuen
Ray Yuen

Former Supervisory Special Agent (FBI)

Dennis A. Wichern
Dennis A. Wichern

Former Special Agent-in-Charge (DEA)

When contacted by federal authorities regarding potential regulatory and statutory violations, banks and other financial institutions must react swiftly in order to avoid severe penalties. At Oberheiden P.C., we provide strategic legal representation for financial industry clients nationwide. Our Financial and Banking Industry practice is led by John W. Sellers, former U.S. Department of Justice (DOJ) Senior Trial Attorney and Acting Chief Investigative Counsel to the Special Inspector General for the Trouble Asset Relief Program (SIGTARP), and our practice includes several other former DOJ attorneys as well as former high-ranking agents with the DOJ’s Office of Inspector General (OIG), the Federal Bureau of Investigation (FBI), and other agencies.

Are you accused of a federal crime?

Don't delay. Learn about your rights.

Call Dr. Nick Oberheiden now!

888-680-1745

Local Defense Counsel for Federal Regulatory and Financial Fraud Investigations

We represent banks and other financial institutions of all sizes in all federal regulatory and statutory enforcement matters. With our attorneys’ and former federal agents’ prior experience handling these investigations on behalf of the government, we offer deep insights and a unique perspective to entities that are facing intense scrutiny from federal authorities.

With experience in matters involving the DOJ, FBI, SIGTARP, Consumer Finance Protection Bureau (CFPB), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Financial Crimes Enforcement Network (FinCEN), Internal Revenue Service (IRS), Securities and Exchange Commission (SEC), and other agencies, we are able to efficiently advise and represent financial industry clients in investigations under all pertinent federal statutes. This includes (but not limited to):

  • Bank Secrecy Act (BSA)
  • Commodity Exchange Act of 1936 (CEA)
  • Consumer Leasing Act (CLA)
  • Credit Repair Organizations Act (CROA)
  • Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”)
  • Electronic Funds Transfer Act (EFTA)
  • Emergency Economic Stabilization Act of 2008 (which created the Troubled Asset Relief Program (TARP))
  • Equal Credit Opportunity Act (ECOA)
  • Fair Credit Reporting Act (FCRA)
  • Fair Debt Collection Practices Act (FDCPA)
  • Federal Trade Commission Act (FTC)
  • Foreign Corrupt Practice Act (FCPA)
  • Gramm-Leach-Bliley Act (GLBA)
  • Home Ownership and Equity Protection Act (HOEPA)
  • Internal Revenue Code (IRC)
  • Sarbanes-Oxley Act of 2002
  • Securities Act of 1933
  • Securities Exchange Act of 1934
  • Trading with the Enemy Act (TWEA)
  • Truth-in-Lending Act (TILA)

If Your Financial Institution is Under Investigation, Prompt and Decisive Action is Crucial

In addition to these and other statutes, banks and other financial institutions are subject to an inordinate number of federal rules and regulations. Compliance requires constant and structured effort, and even institutions’ best efforts often will not be enough to fend off federal scrutiny entirely. When an investigation arises, or when an internal audit reveals an issue that has the potential to trigger federal law enforcement action, the first step toward mitigating any potential consequences is to identify the specific statutory or regulatory issues at hand.

This is among the various areas in which we are particularly well-equipped to represent our clients in light of our attorneys’ and investigators’ past federal government experience. When a client contacts us regarding an investigation or potential compliance violation, we immediately begin our efforts to identify the issue (or issues) at hand and build a custom-tailored defense strategy centered around the specific facts and laws involved. In emergency situations, our team is prepared to work around the clock as necessary, and we can be on the ground at your financial institution’s corporate offices within 24 hours.

Types of Banking and Financial Industry Investigations We Handle

Federal investigations targeting banks and other financial institutions can focus on an extraordinarily broad range of allegations. Again, as your institution’s federal defense counsel, our first order of business will be to assess your institution’s potential exposure under all relevant sources of regulatory and statutory authority. We have the capabilities and resources required to handle corporate investigations of immense scope involving allegations such as:

  • Accounting and financial reporting fraud violations (including, but not limited to, allegations under the Sarbanes-Oxley Act of 2002);
  • Antitrust violations, securities law violations and other statutory and regulatory violations arising out of banks’ and other financial institutions’ involvement in mergers, acquisitions, joint ventures, and other complex transactions;
  • Consumer fraud involving securities, commodities, futures, derivatives, insurance, and credit transactions;
  • Consumer protection violations involving deposit accounts, mortgage loans, lines of credit, and other financial products;
  • Fraudulent practices involving foreign exchange trading (FOREX), cryptocurrency, over-the-counter (OTC) securities, and other unique and specialized financial products;
  • Offshore account reporting violations and utilization of unlawful “tax havens” to evade federal tax obligations;
  • Tax fraud, tax evasion, and money laundering, including assisting individual and corporate clients with setting up financial accounts and business structures to evade federal tax obligations;
  • Underwriting fraud, securitization fraud, residential lending portfolio fraud, self-dealing and conflicts of interests, and other fraudulent financial practices;
  • Violations of agency rules and regulations promulgated under the statutes listed above, licensing and registration issues, and other administrative sanctioning matters; and,
  • Violations of anti-money laundering, anti-bribery, and anti-corruption statutes involving domestic and foreign banking and financial transactions.

Our attorneys and former agents are able to assist with the resolution of matters involving these and other allegations in administrative, civil, and criminal cases. In cases in which federal law enforcement authorities have not yet laid out criminal allegations, we work diligently to prevent our clients’ investigations from turning criminal in nature. When criminal allegations are involved, we work to protect our clients from facing indictments in federal grand jury proceedings.

Why Banks and Other Financial Institutions Choose Oberheiden P.C.

A federal investigation can tarnish your financial institution’s public reputation for years, and it can lead to hundreds of thousands or millions of dollars in financial liability. If federal prosecutors pursue criminal charges, bank owners and executives can face prison time and substantial fines. If your bank or financial institution is under investigation by the CFPB, CFTC, DOJ, FBI, FinCEN, IRS, SEC, SIGTARP, or any other federal agency, here are five reasons why you should choose Oberheiden P.C.:

1. Our Team of Former Federal Prosecutors and Former Federal Agents

Our federal defense team includes several former high-ranking federal prosecutors and federal agents. This includes former Senior Trial Attorneys, Acting Chief Investigative Counsel, U.S. Attorneys and Assistant U.S. Attorneys, Special Agents in Charge, and Supervisory Special Agents. We offer centuries of combined experience on both sides of federal white-collar investigations, and we know first-hand when, why, and how the federal government investigates banks and other financial institutions.

2. Our Focus on Federal Compliance and White-Collar Defense

Our firm’s practice is devoted to federal compliance and white-collar defense. Our attorneys and former agents have collectively handled thousands of federal investigations and federal trials. If your financial institution is at risk for administrative, civil, or criminal penalties, we can use our experience to immediately begin working toward an efficient and favorable resolution. With our compliance experience, we can help you implement the policies, procedures, and protocols to avoid repeat violations as well.

3. Our Nationwide Scope, Technological Resources, and 24/7 Accessibility

Our firm’s practice is nationwide in scope. Headquartered in Dallas, TX, we have satellite offices and local counsel stationed around the country. We rely on state-of-the-art technological resources to serve our clients efficiently on a national (and even international) scale, and we make ourselves available to our clients 24/7 throughout the course of our representation.

4. Our Extensive Experience in Federal Financial Fraud Investigations

In high-stakes federal matters, the importance of relevant experience cannot be overstated. Many law firms tout their years of experience; but, when it comes down to relevant experience, they do not have anything to stand behind. At Oberheiden P.C., our experience in federal cases is among our greatest assets and differentiators, and we take pride in our ability to be fully transparent about the background and insights we can offer.

5. Our Record of Success in Investigations, Administrative Proceedings, and Trials

But, even relevant experience can be inconsequential if it is not tied to a clear record of success. At Oberheiden P.C., our attorneys and investigators have had significant success on both sides of high-stakes and high-profile federal cases. As prosecutors and federal agents, our attorneys and investigators secured convictions in some of the largest federal fraud cases in recent history. As defense counsel, we have protected clients nationwide against business-threatening and life-altering penalties.

Speak with a Federal Financial Fraud Defense Attorney at Oberheiden P.C.

If you need federal defense counsel, we encourage you to contact us promptly for a confidential case assessment. One of our senior attorneys will be more than happy to speak with you and develop a preliminary action plan to move forward. To speak with a federal financial fraud defense attorney Oberheiden P.C., call 888-680-1745 or tell us how we can get in touch with you online now.

If you are under
investigation
you should contact us today

Contact the Experienced Attorneys of Oberheiden, P.C. Now for a Confidential Consultation

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