Joshua G. Berman

Joshua Berman is national co-head of Katten's White Collar Defense, Internal Investigations and Compliance Practice. A seasoned and experienced trial lawyer, Mr. Berman represents numerous companies and individuals in connection with criminal and regulatory investigations, complex civil litigation, federal appellate litigation and compliance issues. Mr. Berman regularly conducts sensitive internal investigations for major corporate clients in the United States and overseas, and has substantial experience handling Foreign Corrupt Practice Act (FCPA), securities fraud, environmental, antitrust and health care fraud and abuse matters throughout the world. In addition, Mr. Berman has appellate litigation experience, having briefed and argued a number of cases before the US Courts of Appeals for the District of Columbia, Second, Fifth and Ninth Circuits.

Mr. Berman has garnered recognition as a leading lawyer in his field. He has been selected for inclusion in Washington, D.C. Super Lawyers (2012, 2013) and recognized as one of the top lawyers in the District of Columbia by Washingtonian magazine. Mr. Berman also was appointed by the US Sentencing Commission to serve as a member of its Practitioners Advisory Group. 

Drawing on his experience in private practice and as a former senior federal prosecutor at the Department of Justice (DOJ) in Washington and the US Attorney's Office for the Southern District of New York, Mr. Berman has worked on numerous high-profile matters. Recent representations include:

Securities Fraud/Corporate Governance

• Publicly traded companies in SEC enforcement and DOJ actions relating to accounting practices, formal and informal inquiries, fraud allegations, fictitious revenues, related party actions and other claims.
• Multinational nonpublic company in connection with internal investigation related to $150 million SPAC transaction.
• In US Court of Appeals for the Fifth Circuit, seven current and former Major League Baseball players who were victims of the Allen Stanford Ponzi scheme, in matter related to court-appointed receiver's efforts to claw back funds.
• Treasurer of publicly traded company in high-profile SEC and DOJ accounting fraud investigations.
• Director of finance of publicly traded company in high-profile SEC and DOJ accounting fraud investigations.
• Chief executive officer of large, privately held New York-based company in connection with insider trading allegations related to expert consulting industry.

Criminal Antitrust Defense and Cartel Investigations

• Senior executive of global company in DOJ criminal antitrust investigation related to the freight forwarding industry.
• Multiple traders in connection with DOJ and SEC price fixing and fraud investigation into international dollars and LIBOR investigation.
• Management officials in DOJ price fixing investigation into air cargo industry.

Foreign Corrupt Practices Act

• Numerous public and private companies in FCPA compliance and transactional due diligence efforts, and in development of training programs.
• Individuals in multiple high-profile FCPA investigations in Europe, Asia, South America, Central America, Africa and the Middle East by DOJ and SEC.
• Oil executive in FCPA bribery prosecution. 
• Individuals in U.N. Oil-for-Food bribery and FCPA investigations.

Health Care Fraud and Abuse

• Hospitals and national health systems in DOJ and HHS OIG investigations into kyphoplasty procedures, alleged Medicare fraud and “one-day stay” billings.
• Major home health provider in internal investigation into billing practices.
• Major hospital system in internal investigation related to Stark and Anti-Kickback Law issues.
• Hospitals and national health systems in DOJ and HHS OIG investigations into implantable cardiac defibrillators (ICDs).
• Major U.S. hospital system in large $300 million DOJ and HHS OIG Medicare cost report investigation and related False Claims Act qui tam case.
• Large US hospital in arbitration related to insurance coverage rate structures.

Public Corruption

• Former senior US House of Representatives staffer in three-week trial in federal district court in the District of Columbia.
• Former senior DOJ attorney in DOJ and congressional Abramoff investigation and prosecution.
• US Senate staffer in DOJ corruption case.
• US House of Representatives staffer in DOJ corruption case.
• Oil executive in DOJ investigation into Department of Interior practices and alleged corruption.
• Former state governor in DOJ corruption investigation and prosecution.

Congressional Investigations

• Insurance company in congressional and DOJ investigation of Hurricane Katrina coverage.
• High-profile FEMA employee in congressional investigation of Hurricane Katrina response.
• Senior DOJ official in congressional investigation into Abramoff scandal.

Other

• High-profile individual in connection with criminal, civil and congressional investigations into Deepwater Horizon Gulf of Mexico oil spill.
• Privately held company that owns and operates television broadcasting stations across the United States in civil shareholder trial in Delaware Court of Chancery.
• Trade association and individuals in connection with DOJ and international internet gambling investigations. 
• Foreign nationals in connection with DOJ criminal tax investigation into tax shelter practices relating to Sharia law. 
• Individuals and trade association involved in DOJ investigations and seizures related to alleged online gambling operations.
• Individual in $800 million government contract fraud investigation.
• Multiple individuals in DOJ/OFAC asset seizure cases.
• President and founder of Second Chance Body Armor in DOJ criminal investigation.
• High-profile professional athlete in connection with criminal and regulatory investigations into uses of performance enhancing drugs.  

Mr. Berman previously served as a federal prosecutor for more than seven years. As an Assistant US Attorney in the Southern District of New York, he investigated, prosecuted and tried cases relating to white collar crime, securities fraud, health care fraud, public corruption, obstruction of justice, bank fraud, anti-piracy and copyright infringement, money laundering, environmental, racketeering, cybercrime, espionage, counter-terrorism, and organized and violent crime. Mr. Berman was on an elite team of prosecutors who investigated and prosecuted al Qaeda members and associates overseas and within the United States.

In 2001, Mr. Berman served as Associate Investigative Counsel on the Webster Commission, leading one of the teams that reviewed the FBI’s national security and counterintelligence programs in the wake of FBI Special Agent Robert Hanssen’s espionage. In 2002, he joined the DOJ’s Public Integrity Section, where he investigated and prosecuted cases across the country relating to bribery, mail and wire fraud, and federal campaign and election laws.

Mr. Berman has lectured at events for the American Bar Association, the DOJ and other organizations. He has been certified by the National Institute for Trial Advocacy and has taught trial advocacy skills to federal prosecutors throughout the United States, as well as to attorneys visiting from foreign countries. He has served as an adjunct professor of law at Columbia Law School, Georgetown University, American University, The George Washington University, The Catholic University of America and Cardozo Law School, where he has taught courses on white collar crime, federal prosecutions and cybercrime. Mr. Berman regularly provides commentary and insight on legal issues. Some of his recent media appearances include: The New York Times, The NewsHour with Jim Lehrer, CNN, The Wall Street Journal, Good Morning America, Nightline, Bloomberg, Chicago Tribune, CNBC and MSNBC, TIME, Legal Times, The Los Angeles Times, USA Today, NPR, Roll Call, Sports Illustrated, The Hill, The New York Sun, The Sporting News and The News & Observer.

Mr. Berman serves as a member of the National Advisory Board of the University of Michigan Depression Center, the nation’s first ever multidisciplinary center dedicated to research, education and treatment of depressive and bipolar illnesses. He also serves on the federal Criminal Justice Act panel for the District of Columbia representing indigent defendants in federal criminal proceedings.

Mr. Berman received his BA, magna cum laude, from Cornell University and his law degree, magna cum laude, from the University of Michigan Law School. He served as a judicial law clerk for the Honorable Joel M. Flaum, US Court of Appeals for the Seventh Circuit. Mr. Berman is admitted to practice in the District of Columbia and Illinois.

Recent Presentations

• “Navigating the World of Laws and Regulations: Managing Legal Challenges for Small Business Entrepreneurs and Start-Ups,” University of Maryland Business School, Dingman Center for Entrepreneurship (College Park, Maryland, March 5, 2013)
• “Legal Pitfalls for Start-ups and the Small Business Entrepreneur,” University of Maryland Business School, Dingman Center for Entrepreneurship (College Park, Maryland, May 8, 2012)
• "Managing Physician Relationships in an Environment of Heightened Security," (Washington, D.C., March 8, 2012)
• "Financial Investments In Health Care Institutions: A Strategic Approach For Lenders to Managing Risk in an Environment of Heightened Scrutiny," (Bethesda, Maryland, November 7, 2011)
• "Best Practices for Electronic Data Retention, Collection and Destruction," (Bethesda, Maryland, November 3, 2011)
• "Rapid Incident Response in Environmental Cases," Air Permitting Forum (Washington, D.C., October 4, 2011)
• "Not Your Average Fraud Seminar II: A Strategic Approach to Managing Risk in an Environment of Heightened Scrutiny," (Chicago, May 17, 2011)
• "Affirmative Responses to Grand Jury Investigations, Search Warrants and Subpoenas, and Private Contractor and Congressional Investigations," The 21st National Institute on Health Care Fraud, American Bar Association (Speaker) (Miami, May 11–13, 2011)
• "Transparency - What It Really Means in the Wake of Health Care Reform: Self Disclosure Amidst Increased Investigative and Prosecutorial Activity," HealthCare Compliance 360 Webinar (Panelist) (Washington, D.C., December 15, 2010)
• "White Collar Sentencing: Calculation of Loss and Other Issues Under the Federal Guidelines for Economic Offenses," American Bar Association: Third Annual Sentencing & Reentry Institute and Criminal Justice Legal Educators Colloquium (Panelist) (Washington, D.C., November 5, 2010)
• "Hot Topics In Corporate Internal Investigations," D.C. Bar CLE Programs (Washington, D.C., October 5, 2010)
• "To Tell or Not to Tell: Voluntary Disclosures Under Stark in the Post-Health Care Reform World," (Webinar, September 27, 2010)
• "Not Your Average Fraud Seminar: A Strategic Approach to Managing Risk in an Environment of Heightened Scrutiny," (Chicago, June 17, 2010)
• "FCPA and the Cost of Being Wrong," ATK Import/Export Annual Conference (Arlington, Virginia, October 14, 2008)
• "Foreign Corrupt Practices Act: Establishing Critical Controls for Routine Interactions—Solving Dilemmas Related to Healthcare Professionals, Charities and Political Activities," American Conference Institute: Anti-Corruption for Pharma and Life Sciences Conference (New York, May 1, 2007)
• "Zealous Prosecution and the Right to Legal Representation: Paying the Price When Corporate Employees are Charged with White Collar Crime," American University Washington College of Law (Panel Moderator) (Washington, D.C., February 22, 2007)
• "Who Are You? Defining, Enforcing and Sharing Digital Identity in a Connected Society," University of Michigan Business School, 2006 Futuretech Conference: Bridging The Gap—The Always Connected World (Ann Arbor, Michigan, January 26–27, 2006)
• "Rules of the Road for Political Activity: When to Stop and Ask Directions," A Political Risk Management Webinar (Washington, D.C., January 26, 2006)
• "External and Internal Investigations: Factual Information to Help You Get the Best Outcomes," Health Care Compliance Association (June 14–15, 2005).
• "Information Protection and the Law: Regulatory Compliance and Policies for Security and Privacy," Security 2005: Educause/Internet2 Security Professionals Conference (Washington, D.C., April 5, 2005)
• "Thinking About Government Service," American Bar Association, White Collar Lawyers Division (Washington, D.C., February 25, 2005)
• "Legal Landscape of Information Technology," Corporate Audit, Security and Continuity Conference (Kansas City, Missouri, September 28, 2004)
• Numerous speeches, lectures and training sessions at the Department of Justice and the National Advocacy Center involving white collar crime, public corruption, criminal procedure, trial advocacy and cybercrime (1997–2004)

Select Publications

• "When No Knowledge Can Still Be a Dangerous Thing: The Potential Criminal Liability of Officers and Directors of Healthcare Companies for the Acts of Their Subordinates," American Health Lawyers Association Business Law and Governance Journal (December 2008)
• "Relationships Between the Medical Device Industry and Physicians: Tread Carefully," Psilos Scoop (October 17, 2008)
• "Fitting a Square into a Circle," Journal of Health Care Compliance (July–August 2007)
• "Prosecuting Corporations: The KPMG Case and the Rise and Fall of the Justice Department's 10-year War on Corporate Fraud," American University Washington College of Law, Criminal Law Brief (Spring 2007)
• "A Triumph for U.S. Justice," Chicago Sun-Times featured letter (May 9, 2006)
• "Interview with Joshua G. Berman," Corporate Crime Reporter (May 9, 2005)
• "Deferred Prosecution Agreements: What Is the Cost of Staying in Business?" Washington Legal Foundation (June 3, 2005)