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Robert E. Hauberg Jr.

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The former leader of Baker Donelson's Government Regulatory Actions Group, Robert Hauberg represents clients in a variety of matters involving securities, SEC enforcement, antitrust, False Claims Act litigation, and internal investigations.

Featured Experience

Represented executives in telecom securities fraud, energy trading and false health care company financials prosecutions and/or related civil litigation.

Represented a pharmaceutical company in the investigation and settlement of qui tam litigation in Philadelphia regarding rebate calculations, as well as in a parallel SEC revenue recognition investigation.

Represented a hospital owner and administration in an antitrust case in Vermont brought by a peer-reviewed doctor, who settled the matter after discovery.

Professional Biography

Overview

Mr. Hauberg is also a member of industry service teams for Government Contracts and Health Care Government Investigations and heads up the Whistleblower Task Force for GEI. He concentrates his practice in antitrust, securities, False Claims Act and RICO litigation; money laundering, white collar crime; post-conviction clemency; internal investigations including foreign corrupt practices, export controls, OFAC sanctions and price fixing; corporate compliance; and litigation for financial institutions, securities broker-dealers, health care and pharmaceutical providers, government contractors, and public officials. He has represented companies and individuals from Canada, China, Denmark, Egypt, Germany, India, Japan, Kuwait, The Netherlands, Russia, Switzerland, Turkey and the United Kingdom.

He has handled dozens of grand jury investigations and criminal trials, as well as civil trials involving mergers, financial institutions, RICO, false claims by government contractors, whistleblowers and bribery. He has participated in mediation/arbitration matters including the Marvin Frankel insurance fraud litigation, KPMG tax shelters, shareholder litigation, securities suitability, sales of marine equipment, antitrust, health care/pharmaceutical contracts, and federal False Claims Act whistleblower litigation. Prior to private practice, Mr. Hauberg was a federal prosecutor as an Assistant U.S. Attorney in the District of Columbia, and as a senior official in the Antitrust Division and in the Criminal Division (Fraud Section) of the Department of Justice in Washington.

Representative Matters
  • Represented executives in telecom securities fraud, energy trading and false health care company financials prosecutions and/or related civil litigation.
  • Represented physician in grand jury investigation of telemedicine DME prescribing.

  • Represented municipal advisor in SEC investigation of bond offering.

  • Represented a pharmaceutical company in the investigation and settlement of qui tam litigation in Philadelphia regarding rebate calculations, as well as in a parallel SEC revenue recognition investigation.

  • Represented a hospital owner and administration in an antitrust case in Vermont brought by a peer-reviewed doctor, who settled the matter after discovery.

  • Obtained a carve-out from prosecution for a Dutch executive in an air cargo price-fixing investigation by the Department of Justice Antitrust Division, and represented him as a witness in class action litigation.

  • Represented a health care provider in a criminal investigation by the state attorney general and obtained a civil resolution with the criminal charges avoided.

  • Represented a contractor in multiple congressional subpoenas for documents and staff interviews regarding the timing of a Request for Equitable Adjustment for the construction of the Jakarta embassy, and related investigation of State Department testimony regarding construction issues and security inspections of materials for the London embassy. 

  • Represented a government contractor in an OIG investigation of volume/prices in sales of fuel for postal delivery vehicles, which included the production of records and partial voluntary disclosure.

  • Defended a durable medical equipment provider in a qui tam False Claims Act suit in Florida, resulting in the dismissal of the complaint.

  • Represented a United States Senator in connection with the investigation of a staffer in the Abramoff-Ring prosecution, which included the production of documents to the Department of Justice Public Integrity Section and the Senate Legal Counsel.
  • Litigated and settled claims against a securities firm for permitting a guardian to raid the accounts of minor children.
  • Advised a bank holding company on divestitures needed to complete the acquisition of a bank and coordinated with Antitrust Division and Federal Reserve.

  • Represented Navy civilian officials in qui tam False Claims Act litigation and settled claims alleging the bid process was tainted by information sharing in violation of procurement integrity restrictions.
  • Conducted an external review of existing controls concerning external relations programs relating to government and industry relations. Findings were presented in the form of a report to the board of directors and to the regulatory agency, and compliance recommendations were made.

  • Helped contractor respond to HUD-OIG audit of grants to the Mississippi Gulf Coast for new infrastructure post-Katrina and rebutted claims of millions of dollars of wasted expenditures and inflated projections.

  • Helped conduct and respond to interview and document requests during an investigation of pharmacies by the U.S. Attorney's Office in the Southern District of Florida.

  • Obtained summary judgment on behalf of an engineering company and its subsidiary in a False Claims Act whistleblower action alleging retaliation for reporting the manipulation of independent government estimates, in collusion with the Federal Bureau of Prisons, to affect the negotiated prices for change orders in designing and constructing a federal prison to benefit the prime contractor.
  • Represented a generic pharmaceutical company in a pay-for-delay investigation by the Mississippi Attorney General as part of a multi-state task force concerning restraints on generic competition for branded drugs caused by settlement of patent litigation and related contracts for supply and distribution arrangements granted by the branded pharma companies to the client company, with the result that after a confidentiality agreement was negotiated and documents produced, the Attorney General's office decided to close the investigation.

  • Successfully mediated after motions and limited discovery, on behalf of a multinational pharmaceutical company after almost eight years of litigation, settling a parens patriae action by the Mississippi Attorney General alleging antitrust and consumer protection violations for price fixing of human and animal vitamins and vitamin mixes around the world.

  • Represented a former Alabama legislator accused of participating in a bribery scheme to obtain approval for gaming operation in a federal plea and sentencing hearings, successfully arguing for a substantial variance downward from the sentencing guidelines based upon the personal circumstances of the defendant.
  • Obtained a defense verdict for bank president after three-week RICO trial.

  • Represented a Moscow banker among various other codefendants in a RICO action claiming $3 billion in claims of alleged bribery and illegal takeovers of Russian aluminum companies. The investors sued in New York but the court dismissed the case on grounds of comity and forum non conveniens, essentially sending it to Russian courts.

  • Represented a construction company in connection with a Congressional investigation of the construction of U.S. embassies and of the associated design changes, delays and costs affecting the security of U.S. diplomats.
  • Obtained summary judgment in a $1 million False Claims Act whistleblower case alleging retaliation for reporting the manipulation of independent government estimates, in collusion with the Federal Bureau of Prisons, to affect the negotiated price for change orders in design and construction of a federal prison in order to benefit the prime contractor.

  • When due diligence for the acquisition of an agricultural import company revealed questionable payments to inspectors, Baker Donelson guided the company through an internal investigation and self-reporting of the results to the DOJ and SEC, which imposed fines after finding books and records and internal controls violations under the Foreign Corrupt Practices Act.
  • Successfully represented Navy civilian officials in False Claims Act qui tam litigation and a criminal investigation with no resulting prosecution. Negotiated the settlement of claims that the contract bid process for military IT services and data retention at a NASA rocket testing facility was tainted by information the officials disclosed in violation of procurement integrity restrictions.

  • Successfully represented and secured immunity for the treasurer of a prominent post-acute health care provider in the CEO’s criminal trials for health care fraud and bribery.

  • Successfully represented a U.S. Senator, including producing documents to the Department of Justice Integrity Section and to Senate legal counsel, in connection with the investigation of a staffer who received gifts from a high-level prosecuted lobbyist.
  • Successfully represented a U.S. Representative in resolving reporting issues with the Federal Elections Commission and later assisted in an Independent Counsel investigation of gifts from a client while client was Secretary of Agriculture.

  • Successfully represented a technology contractor at a rocket testing facility in criminal and civil investigations by the NASA OIG and in qui tam and administrative proceedings by the DOJ Civil Division. Conducted a three-month trial in which the judge found only a minimal contract violation and no False Claims Act violation. Subsequently settled the case with another pending case and successfully defended the contractor and lab director and avoided suspension and debarment as advocated by the government.

  • Successfully represented a pharmaceutical company in the investigation and settlement of qui tam litigation regarding rebate calculations for federal and state health care insurance programs, as well as in a parallel SEC revenue recognition investigation in which no charges were brought.

  • Successfully represented a bank president in an alleged loan scheme with borrowers. Achieved settlement of the administrative action with the Office of the Comptroller of Currency and then persuaded the U.S. District court to vacate the criminal restitution order because the bank had obtained an insurance recovery. Successfully defended the client in a three-week RICO jury trial, achieving a verdict of zero damages.

  • Successfully defended and won acquittal in a Rule 29 motion for a senior insurance company executive charged with concealing commissions received for a key man insurance policy obtained for the company's chairman.

  • Obtained a carveout from prosecution for a Dutch executive in an air cargo price fixing investigation by the Department of Justice Antitrust Division and represented the client as a witness in class action litigation.

  • Defended a catfish processor in criminal and subsequent multi-million dollar class action litigation for price fixing. Achieved settlement at the pretrial conference after extensive discovery.

  • After a jury trial, obtained acquittal of a mental health facility director for alleged bribery of a city official for assigning patients to the center.

  • Reviewed existing controls concerning lobbying relations for a national mortgage company. Presented the findings to the company's board of directors and the regulatory agency, and made compliance recommendations to the board, general counsel and compliance director.
  • Represented the CFO of a major telecommunications company in federal investigations of inflated revenues, and in charges and pleas hearings and related civil class action litigation at the state level.

Professional Honors & Activities
  • Listed in The Best Lawyers in America® since 1995 in the areas of White-Collar Criminal Defense, Antitrust Law, Corporate Governance and Compliance Law and Commercial Litigation
  • Named the Best Lawyers' 2014 Jackson-MS Corporate Compliance Law "Lawyer of the Year"
  • Named the Best Lawyers' 2013 Jackson-MS Litigation - Antitrust "Lawyer of the Year"
  • Listed in Washington, D.C. Super Lawyers since 2014 in White Collar-Criminal Defense
  • Listed in Mid-South Super Lawyers since 2006 in Antitrust Litigation
  • AV® Preeminent™ Peer Review Rated by Martindale-Hubbell
  • Named as one of Washington, D.C. & Baltimore's "Top Rated Lawyers"
  • Named an Outstanding Healthcare Antitrust Lawyer by Nightingale's Healthcare News (2006)
  • Mississippi State Chair, American Bar Foundation (2017 – 2020)
  • Co-Chair – D.C. Bar, Antitrust and Consumer Law Section (2016 – 2017)
  • Secretary – Federal Bar Association Antitrust and Trade Regulation Section (2016 – 2018)
  • Member – Mississippi, New York State, District of Columbia (Antitrust and Consumer Law Section Steering Committee and Co-Chair, 2011 – 2017), American Bar Association (Criminal Justice Section: Vice Chair, International Criminal Law Committee, 2005 – 2006; Co-Chair, Business Crime & Investigations, Southwest Region, 1996 – 2001; Program Co-Chair, Gaming Enforcement, 1996 – 2001; Co-Chair, Bank and Insurance Fraud Subcommittee, White Collar Crime Committee, 1992 – 1996; Antitrust Law Section: Co-Chair, Compliance and Ethics Committee, 2011 – 2013; Vice Chair, Compliance and Ethics Committee, 2005 – 2011; Chair, Financial Markets and Institutions Committee, 2000 – 2003; Vice Chair, Criminal Practice and Procedure Committee, 1997 – 2000; Criminal Litigation Committee, Litigation Section; Business Law Section), Federal (Member, Government Contracts Committee; Secretary, Antitrust and Trade Regulation Section, 2016 – 2018) and International Bar Associations (Member, Antitrust and Trade Law and Business Crimes Committees, Business Law Section)
  • Fellow– Mississippi Bar Foundation
  • Former Member – Securities Industry and Financial Markets Assoc. (Compliance and Legal Division)
  • Former Member – Association of Certified Fraud Examiners 
  • Member – American Health Lawyers Association
  • Member – American-Scandinavian Foundation
  • Member – Danish Club of Washington, D.C.
  • Officer/Board Member – Mississippi Museum of Art, Mississippi Opera, Mississippi Symphony, Yale Law School Alumni Association, St. Andrew's Episcopal Cathedral Vestry, Historic Greenwood Cemetery Association
  • Life Fellow and Mississippi State Chair – Fellows of the American Bar Foundation
Publications
Speaking Engagements
  • "Health Care Fraud: Recent Government Enforcement Initiatives and Investigation Issues," presentation for the Mississippi Health Care Working Group (January 2019)
  • "What's New in the New Year – Government Enforcement Initiatives and Investigation Issues," Association of Certified Fraud Examiners, Central Mississippi Chapter (January 2019)
  • "Update on Whistleblowers," Labor and Employment Briefing, Memphis, Tennessee (June 2018)
  • Moderator – "Corporate Compliance - Responsible Business Practices for Thriving Companies," D.C. Bar Antitrust and Consumer Law Community Webinar (February 2018)
  • Panelist – "Whistleblowers: Brief Overview of Bio-Rad and Its Implications for Corporate Counsel and Their Employers," Whistleblower Law: Attorney-Client Privilege and Other Lessons from Bio-Rad, Telephone Seminar/Audio Webcast (September 2017)
  • "Business Operations Basics: Mitigating Risks and Liability," National Business Institute, Madison, Mississippi (July 2017)
  • Lecturer – Mississippi College School of Law: Trial Practice (Criminal Litigation) (March 2017); International Business (Enforcement) (April 2017)
  • "Whistleblowers," Labor and Employment Briefing, Jackson, Mississippi (May 2016)
  • Panelist – "Major SEC White Collar Cases," ABA Criminal Justice Section's Southeastern White Collar Crime Institute (September 2015)
  • Contributor – ABA Antitrust Law Section U.S. Sentencing Commission Project (2015)
  • Moderator – "Antitrust Issues in Government Contracts: D.C. and Federal Perspectives," D.C. Bar Panel (December 2014)
  • "Antitrust Issues in Government Contracts: D.C. and Federal Perspectives," Cosponsored by the Antitrust and Consumer Law Section and the Government Contracts and Litigation Section of the D.C. Bar (December 2014)
  • Panelist – "White Collar Criminal Enforcement: Is The Government More Willing Than Ever To Go To Trial," ABA Criminal Justice Section, Southeastern White Collar Crime Institute, Braselton, Georgia (September 2014)
  • Moderator – "Complying with Antitrust Enforcement Orders, Decrees and Agreements - DOJ, FTC and Practitioner Views," D.C. Bar Panel (December 2013)
  • Panelist – "The ABA's 2012 Changes In Ethics Rules," ABA Antitrust Law Section Spring Meeting (April 2013)
  • Panelist – "Securities Laws Enforcement in the EB-5 Context: SEC Process & Procedures (Chicago Convention Center Case Study)," IIUSA Webinar (February 2013)
  • Moderator – "Town Hall Meeting," ABA Section of Antitrust Law Compliance and Ethics Committee (February 2013)
  • "June Antitrust Update for In-House Counsel," Antitrust Law Section, American Bar Association (July 2012)
  • Moderator – "Antitrust Basics for Non-Antitrust Lawyers," Brown Bag Program, Antitrust and Consumer Law Section of the D.C. Bar (May 2012)
  • Session Chair – "General Counsel Roundtable on Compliance," ABA Antitrust Law Section Spring Meeting (March 2012)
  • Program Chair – "General Counsel Compliance & Ethics Roundtable: Coordinating Consistency In the Multinational Context," ABA Antitrust Law Section Spring Meeting (March 2011)
  • Panelist – "Trouble Is Knock, Knock, Knocking On My Front Door - Responding To Mortgage Fraud Investigations," Mortgage Bankers Association National Fraud Issues Conference (March 2011)
  • Program Moderator – "Developments in Ethics 2010," ABA Antitrust Law Section Compliance and Ethics Committee Teleseminar (January 2011)
Press Releases

Education

  • Yale Law School, J.D., 1970
  • Yale University, M.A. in International Relations, 1967
  • University of Mississippi, B.A., 1965, summa cum laude

Admissions

  • Mississippi
  • U.S. District Court, Southern and Northern Districts of Mississippi
  • Mississippi Supreme Court
  • District of Columbia
  • U.S. District Court, District of Columbia
  • U.S. Court of Appeals, District of Columbia
  • U.S. Court of Appeals for the First, Second, Fifth, Sixth and Eighth Circuits
  • New York
  • U.S. District Court, Southern and Eastern Districts of New York
  • U.S. District Court, Northern District of Texas
  • U.S. Supreme Court

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