State AG Investigations vs. Federal Investigations: Key Differences and How to Prepare for Both (Presented by Troutman Pepper Locke)

Luis Reyes | Troutman Pepper Locke

Lu is a former senior U.S. government official with a wealth of experience advising U.S. and international clients with complex regulatory and enforcement challenges. He has extensive experience representing clients facing state or federal government investigations and enforcement actions, conducting internal investigations, and advising corporate clients on regulatory compliance practices and in crisis response scenarios. As an accomplished legal strategist, Lu provides counsel to CEOs, CLO’s, and other executives, as well as boards of directors across various industries on a myriad of complex issues.

Lu’s clients benefit from his decades of experience providing strategic advice to top-tier government leaders, including the President of the United States and multiple United States Attorneys General. His career is marked by significant roles in federal and state government.

As Deputy Assistant to President George W. Bush, he was a chief advisor to the President and a member of the White House Senior Staff. In that role he provided strategic and human capital related policy advice directly to the President regarding all legal, national security, and international affairs, and presidential appointments administration wide.

As Deputy Associate Attorney General at the U.S. Department of Justice, he served as Chief of Staff to the Associate Attorney General and had oversight of litigation emanating from the Tax, Civil Rights, Civil, and Community Relations Service Divisions of the agency. At the Department, he also previously served as Counselor to the Assistant Attorney General of the Civil Rights Division, and as Counsel to the Assistant Attorney General for the Civil Division, the division responsible for representing the U.S. in all constitutional challenges to U.S. law and defending the U.S. on all torts, federal programs, and immigration-related litigation.

Prior to joining private practice, Lu also served as the General Counsel for the federal law enforcement agency charged with rooting out waste, fraud, and abuse of the $50+ billion appropriated for the reconstruction of Iraq where he oversaw several federal fraud prosecutions in conjunction with the U.S. Department of Justice Criminal Frauds Section.

Earlier in his career, Lu served as an Assistant Attorney General and Trial Attorney for the Office of the Texas Attorney General, where he handled a robust civil litigation practice at the trial and appellate levels in both state and federal court.

John S. West | Troutman Pepper Locke

John represents individuals and corporations across the U.S. in all phases of regulatory, civil, and criminal litigation. He has extensive experience defending DOJ investigations, SEC enforcement actions, and federal and state grand jury proceedings, as well as conducting internal investigations for public and private clients. He has handled matters involving government contracting fraud, embezzlement, environmental crimes, health care fraud, securities fraud, tax and bank fraud, insider trading, money laundering, the Foreign Corrupt Practices Act, and the False Claims Act. He also represents manufacturers, wholesalers, and retailers in alcoholic beverage compliance and enforcement matters.

John chairs the firm’s Business Litigation Department and is a member of the firm’s Management Team and Policy Committee. Additionally, John provides ongoing analysis and commentary on regulatory developments. He is a contributor for the firm’s regulatory blog, Regulatory Oversight.

I. Procedural dynamics: Understand the differences in procedural frameworks and how they affect investigation strategies | 1:00pm – 1:30pm

II. Legal standards: Explore the varying evidentiary requirements and burdens of proof | 1:30pm – 2:00pm

Break | 2:00pm – 2:10pm

III. Possible outcomes: Discuss the implications of penalties, settlements, and litigation risks | 2:10pm – 2:40pm

IV. Resolution oriented strategies: Understanding what historically may drive state AG cases vs. Federal; learn effective compliance and communication tactics for dealing with both enforcement authorities | 2:40pm – 3:10pm