Carlos F. Ortiz is a member of the Litigation and White Collar Defense teams and his work has a particular emphasis on white collar defense and investigations. He uses his prominent 15-year background as a high-level federal prosecutor to assist clients with matters relating to the Foreign Corrupt Practices Act (FCPA), high-risk tax controversies, offshore tax issues, anti-money laundering, e-commerce fraud, healthcare fraud, as well as allegations of fraud against government agencies and financial institutions. Over his career in private practice he has secured the declination of criminal charges for corporate and individual clients. On several occasions he has prevented the referral of charges for the target of criminal tax investigations.
Carlos is recognized in Chambers USA as a leading lawyer in Litigation: White-Collar Crime and Government Investigations Law. „His white-collar defense practice demonstrates strength in a range of criminal tax proceedings and investigations, for which he has developed a leading reputation. He is described as ‚the dean of the tax defense practice area – he’s the go-to guy.‘ “
Carlos has extensive experience representing US and foreign-based corporations as well as individuals in the pharmaceutical, financial services, healthcare, aerospace, energy, and telecommunications industries in connection with matters before enforcement and regulatory agencies including the US Department of Justice (DOJ), the Internal Revenue Service (IRS), the Securities and Exchange Commission (SEC), and various state attorneys general. These include negotiating settlements and implementing remedial measures. He also has significant experience assisting companies in efficiently responding to subpoenas, thereby minimizing any disruption to their business operations.
During his career at the US Attorney’s Office for the District of New Jersey, Carlos served as Deputy and Acting Chief of the Criminal Division, where he supervised eight criminal litigation units and as the Chief of the Government Fraud Unit, overseeing the work of approximately 80 Assistant US Attorneys. Carlos also served in the Western Criminal Enforcement Section at the Tax Division. During his tenure as a federal prosecutor he tried 21 jury trials in federal court, the majority involving criminal tax offenses. He also served as an international coordinator, where he worked closely with the Department of Justice’s Office of International Affairs in matters involving international prosecutions. Carlos was responsible for conceptualizing and leading a global financial investigation resulting in the breakup of a massive international network of internet-based commercial money laundering and child pornography rings. Carlos was honored at the White House by President Bush in May 2005, and received an award from the National Center for Missing and Exploited Children at a congressional breakfast, for his role in leading this ground-breaking international investigation.
Carlos also lectures extensively on topics involving the FCPA, criminal tax issues (including crypto-currency), internal investigations, financial crimes, and trial advocacy in both the United States, South America, Europe and Asia.
Utilizing his familiarity with DOJ, Carlos represented a company in an FCPA matter that resulted in the company entering into a non-prosecution agreement and a significant reduction in the fine. Due to the company’s remedial efforts, DOJ did not require a monitor, instead trusting Carlos to implement the terms of the agreement. He presented annual reports on the company’s progress in monitoring and enhancing its compliance policies and procedures to the leadership of DOJ’s Fraud Section to efficiently close out the terms of the agreement – who commended his team and the company for their work*
Representing a South American sports broadcasting and marketing company in the FIFA investigation
Represented numerous accounting firms in grand jury and SEC investigations involving both the preparation of tax returns and their audit practice*
Represented several high level executives before DOJ and the SEC in FCPA investigations resulting in the declination of charges against the individuals*
Worked with Senator George J. Mitchell in connection with his independent investigation of performance enhancing substance use in Major League Baseball*
Represented companies in FCPA matters that resulted in a non-prosecution agreement, no compliance monitor and a substantial reduction in the amount of the fine. The representations included assistance in compliance with the terms of the non-prosecution agreement*
Represented a multinational insurance company in a corruption investigation conducted by both the US Attorney’s Office for the District of New Jersey and the Attorney General’s office resulting in non-prosecution by both offices*
Represented a target of a criminal tax grand jury investigation resulting in the declination of charges by the US Attorney’s Office for the District of New Jersey*
Represented a construction developer in an SBA fraud case in the Northern District of Illinois resulting in the US Attorney’s Office dismissing the indictment one month before trial*
Represented an individual in a government fraud investigation resulting in the dismissal of criminal complaint by the US Attorney’s Office for the District of New Jersey*
Represented a military defense contractor in a federal grand jury investigation resulting in the declination of criminal charges by the US Attorney’s Office for the District of New Jersey*
Served as investigations counsel for an international insurance company with responsibility for conducting internal investigations*
Represented a European-based credit card processing company in a gaming/bank fraud grand jury investigation by the Eastern District of NY resulting in no criminal or civil action or fine*
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