Federal investigations, subpoenas, and government contact

A federal investigation can begin with an agent’s business card, a request for an interview, a subpoena to the company, or notice that a business partner has been contacted. Each calls for a different response. The immediate task is to identify what the government is asking for, what the law requires, and whose interests are at stake.

Charles Rollins represents individuals and businesses facing serious government investigations and criminal charges. His experience in bank fraud and healthcare fraud defense, electronic discovery, and compliance informs the work of examining records, understanding business decisions, and preparing a response grounded in the facts.

Should I speak with agents if I believe I can explain what happened?

An accurate explanation may matter greatly. The question is when and how to give it, with what preparation, and after reviewing which records. An unexpected interview invites guesses about dates, transactions, other people’s responsibilities, and documents the interviewer may already possess.

A request for a voluntary interview is different from a subpoena or other compulsory process. Before answering substantive questions, ask to consult counsel and clarify whether the encounter is voluntary. Do not obstruct agents executing lawful process. Do not lie or offer an account you cannot support: knowingly and willfully making a materially false statement in a matter within federal jurisdiction can itself be a crime under 18 U.S.C. § 1001, even without an oath.

Counsel can evaluate whether an interview would advance the defense, seek clarity about its subject, and review the relevant records with you. Preparation should separate personal knowledge from assumptions and information learned afterward. A decision to provide information should be deliberate rather than an effort to make an uncomfortable encounter end.

Does a subpoena mean I am a target?

Not necessarily. A subpoena can seek evidence from a person or business that is not suspected of wrongdoing. Its wording, recipients, document categories, and surrounding contacts may help identify the investigation’s direction, but the subpoena alone rarely provides the complete picture.

The Justice Department’s grand-jury policy distinguishes a subject, whose conduct falls within the investigation’s scope, from a target, against whom the prosecutor or grand jury has substantial evidence and whom the prosecutor views as a potential defendant. These are working classifications under DOJ policy, not guarantees about future charges. Counsel may seek clarification, while recognizing that the assessment can change.

What should happen before records are produced?

First, preserve the subpoena and its attachments, note when and how it arrived, and identify every response and appearance date. Then identify the systems, custodians, and records potentially covered. The inquiry should include email, text messages, cloud accounts, accounting platforms, and devices when relevant, rather than assuming the answer is confined to a filing cabinet.

Preservation and production are separate steps. Prevent relevant information from disappearing while counsel evaluates scope, privilege, privacy obligations, and a defensible collection method. Do not delete messages, alter records, backdate explanations, or ask others to do so. Federal obstruction law can reach intentional destruction or falsification of records undertaken to impede a federal matter, including in contemplation of one.

Under Federal Rule of Criminal Procedure 17(c), a court may quash or modify a subpoena when compliance would be unreasonable or oppressive, on a promptly made motion. Whether that standard is met requires analysis of the particular demand and governing law. Counsel may also seek an agreed narrowing or extension. A request for more time does not itself change the deadline, and simply ignoring a subpoena can lead to contempt.

A sound production process records what was searched, collected, reviewed, withheld, and delivered. That record helps address later questions about completeness without forcing the business to reconstruct its response from memory.

Can I refuse to produce business records under the Fifth Amendment?

The answer depends on the records, the recipient’s capacity, and the demand. The contents of existing records and the potentially testimonial act of producing them present different questions. A personal privilege does not automatically protect corporate records.

In Braswell v. United States, the Supreme Court held that a corporate records custodian could not resist production on the ground that producing corporate records would incriminate him personally. The decision also imposed a limitation on use of the custodian’s individual act of production. These distinctions require review before responding, not a blanket assertion that every business document is protected.

Does the company’s lawyer represent me too?

Do not assume so. The company, its owners, officers, and employees may face different risks or have different accounts of events. Clarify who the lawyer represents, whether individual advice is being provided, and whether separate counsel is needed before a substantive interview.

Likewise, involving a lawyer does not turn every underlying fact or business record into privileged material. Upjohn Co. v. United States distinguishes protected attorney-client communications from the underlying facts. Counsel should plan an investigation around a genuine legal purpose and explain confidentiality limits rather than rely on labels alone.

What if I must testify before a federal grand jury?

A federal grand-jury appearance differs from an interview with counsel seated beside you. Rule 6(d) does not permit the witness’s lawyer inside the grand-jury room. Preparation should address the subpoena, potential privilege issues, and consultation outside the room. Do not assume that the appearance has been excused unless that has been confirmed.

Discuss the investigation before the next deadline

For an initial inquiry, identify the agency, the kind of request, any deadline, and the people or entities involved so the firm can evaluate conflicts and availability. Do not send confidential records or a detailed account before representation is agreed upon. Contact Charles Rollins, PC to discuss representation.

For related analysis, read how defense counsel can investigate concealed evidence sources. This page addresses federal investigations generally. State procedures and individual circumstances differ. Charles Rollins is admitted in Georgia and North Carolina and in the federal courts listed on his profile; representation elsewhere depends on applicable admission requirements.

General information, not legal advice. Contacting the firm does not create an attorney-client relationship.