What types of criminal matters does WGM handle?
While we have defended a broad range of charged conduct we focus on criminal exposure that arises out of government regulation and investigation of business operations, including:
- Governmental focus on a controversial business in an attempt to criminalize its activities or find criminal exposure in other acts or practices. I.e., enforcement actions targeting regulated or politically sensitive products or business models
- Inquiry, audits or investigations of business practices, including matters that begin as civil or regulatory inquiries and later develop criminal risk
- Securities related investigations and investor issues, including compliance-driven exposure that can arise even without intent to violate the rules
- Exposure from international business activity and third-party relationships where foreign practices may violate U.S. law
- Specialized compliance and recordkeeping matters, including 18 U.S.C. § 2257 for clients subject to those federal requirements
- Allegations involving exploitation or trafficking risk where a business’s operational practices, vendors, or venues create potential civil and criminal exposure
We are trying to stay compliant. What are the highest-risk areas that tend to trigger investigations?
High-risk areas usually share one trait: technical requirements paired with aggressive enforcement. The most common flashpoints are recordkeeping and reporting, advertising and representations to customers or investors, third-party relationships, and any operational area where regulators can characterize conduct as concealment, deception, or disregard of required safeguards. Consumer, critic, investor and even employee complaints are often the beginning of problems.
How do we stress-test our operations for compliance without creating unnecessary exposure?
Start with an enforcement-lens review. Identify what regulations and procedural requirements actually apply, where proof lives (documents, logs, contracts, onboarding files), who owns compliance internally, and what would look bad out of context. The goal is to tighten documentation and workflows so compliance is demonstrable, not just aspirational.
When should a business involve counsel, as opposed to handling an issue internally through compliance or management?
It is often wise to involve counsel when an issue could be interpreted as intentional misconduct, when requests come from a government agency, when employees are being contacted, or when you anticipate a parallel civil dispute. Counsel helps preserve privileges, control communications, and avoid early missteps that expand scope.
When a government agency reaches out with respect to initiating an investigation counsel should be consulted immediately.
We received an agency inquiry or a request for records. What is the safest first move?
Treat it as a structured response project. Preserve relevant information, stop routine deletion, centralize communications through a single point person, and avoid informal explanations. Early decisions about what to produce, how to frame it, and what not to volunteer often determine whether the matter stays narrow or escalates.
What should we tell employees if investigators contact them directly?
Keep instructions simple and lawful: employees should remain calm, provide basic identifying information if asked, and notify management or counsel promptly. They should not guess, speculate, or fill in gaps. Training on how to handle contact can reduce inconsistency and prevent well-intentioned statements from creating confusion. It is critical to ensure that employees are not told how to answer questions. They must be advised to be truthful at all times. Depending on the nature of the inquiry you may need independent counsel that employees can talk to who are not representing the company in the inquiry.
We want to reduce risk around records and documentation. What does defensible recordkeeping look like?
Defensible recordkeeping means you can show compliance in a way a regulator would accept: clear policies, consistent logs, documented ownership, and an audit trail that matches actual practice. It also means avoiding backfilled records and informal workarounds that can be portrayed as concealment.
How do we handle a subpoena or civil investigative demand without making things worse?
Do not respond piecemeal. Confirm deadlines, scope, and custodians; preserve and collect systematically; and review for privilege and relevance. A careful production strategy can narrow the inquiry, avoid unnecessary admissions, and reduce the risk of inconsistent disclosures.
What if we suspect a civil dispute could turn into a criminal or regulatory problem?
Assume parallel exposure and plan for it. Civil counsel and business leadership may naturally want speed and leverage; criminal or regulatory exposure requires discipline and message control. A unified strategy avoids steps that help the civil posture while harming the regulatory one.
We create produce that is subject to 18 U.S.C. § 2257. What does real-world compliance look like?
Effective § 2257 compliance is operational and document-driven. It generally means having a consistent, auditable process for (1) age verification and identity documentation, (2) maintaining complete and organized records tied to the relevant content, (3) ensuring the required labeling and record-custodian information is properly handled, and (4) training the people who touch intake, production, and distribution so the process is followed the same way every time. The goal is to prevent technical gaps, sloppy recordkeeping, or inconsistent practices that can invite enforcement.
How do you protect confidentiality and attorney-client privilege during a compliance review or investigation?
We structure communications and fact development to preserve privilege where applicable, especially in internal reviews and investigation response. We also help design practical communication protocols so sensitive issues remain controlled, consistent, and need-to-know, while still allowing leadership to make informed decisions.
What about Fifth Amendment Protection?
This can be a tricky road. The Fifth Amendment does not provide protection to entities. You are protected in your personal papers and records, but if your company is a Corporation, Limited Liability Company, or even a Partnership (how do you file your taxes) it does not have Fifth Amendment Protection.