# Government Investigation Response

> SKILL 44: Government Investigation Response

- Skill: `nickgallick/government-investigation-response` (Agent Skill)
- Install (CLI): `npx skillmds@latest add nickgallick/government-investigation-response`
- Raw SKILL.md: https://api.skillmd.com/api/skills/nickgallick/government-investigation-response/raw
- Safety review: pending (external: skill-scanner PASS, skillspector CAUTION)
- Works with: Claude Code, Claude.ai, OpenAI Codex
- Category: Coding & Dev Tools
- Author: nickgallick (https://skillmd.com/u/nickgallick)
- Updated: 2026-09-21
- Page: https://skillmd.com/skills/nickgallick/government-investigation-response

---

# SKILL 44: Government Investigation Response

## Purpose
Know exactly what to do when FBI, DOJ, IRS-CI, SEC, CFTC, or state investigators initiate contact. Wrong moves in the first 24 hours can convert a civil matter into a criminal one.

## If Agents Show Up at Your Door/Office

### Say ONLY This
"I want to cooperate, but I need to speak with my attorney first. May I have your card?"

### DO NOTs (All of These Are Mistakes)
- Do NOT answer questions about your business, products, or finances
- Do NOT consent to a search without a warrant ("Do you have a warrant?")
- Do NOT lie — lying to a federal agent is a crime under 18 U.S.C. § 1001, even if the underlying conduct isn't criminal
- Do NOT destroy, delete, or move documents after contact is made (obstruction of justice, 18 U.S.C. § 1519)
- Do NOT call employees to "get your stories straight"

### DO (Immediately)
- Take the agent's card (name, agency, badge number, contact info)
- Note what they asked about (topic, not your answers)
- Note the time and location of contact
- Call your attorney IMMEDIATELY (before calling anyone else)
- Issue a litigation hold to all employees: preserve ALL documents, emails, Slack messages, code, financial records

## If You Receive a Grand Jury Subpoena

### What It Is
- Compels you to produce documents or testify
- More coercive than a civil subpoena — you generally MUST comply

### What To Do
- Call your attorney IMMEDIATELY — do NOT produce anything first
- You can assert: attorney-client privilege, Fifth Amendment (for testimony, not documents in corporate context), work product doctrine
- Request a reasonable extension to produce (usually granted)
- Do NOT produce documents before privilege review

### Litigation Hold
- Issue immediately upon receipt of subpoena, CID (Civil Investigative Demand), or any government inquiry
- Preserve: emails, Slack, Discord, text messages, code repositories (all branches/commits), financial records, contracts, corporate records
- Destroying documents after a subpoena = obstruction of justice = prison time

## If You Receive a Search Warrant

### What It Is
- Law enforcement CAN execute it — you cannot refuse
- Scope: they can only search for what's listed in the warrant

### What To Do
- Ask for and READ the warrant — carefully note the scope
- Do NOT interfere with the search
- Do NOT delete files while they're executing (obstruction)
- Request your attorney be present (you can ask them to wait a reasonable time — they don't have to wait indefinitely)
- Document everything they take — request an itemized receipt (they're required to provide one)
- Note which devices were imaged/seized
- Preserve copies of everything you can access before or after the search

## Parallel Proceedings (Civil + Criminal Simultaneously)

### The Risk
- SEC/CFTC routinely refers matters to DOJ for criminal prosecution
- What you say in the civil case CAN be used in the criminal case
- Civil discovery can force you to produce documents that hurt you criminally

### The Strategy
- Criminal defense attorney takes the lead on all strategy
- Fifth Amendment: you CAN assert the Fifth in civil proceedings to avoid self-incrimination
  - Cost: civil court can draw "negative inference" (assume your answer would have been bad)
  - Benefit: avoids criminal self-incrimination
- Civil case strategy MUST NOT compromise criminal defense — they cannot be managed separately
- Hire SEPARATE civil and criminal counsel when both proceedings are active

## SEC/CFTC Informal Inquiries (Before Formal Investigation)

### The Hidden Danger
- SEC/CFTC often contact companies "informally" before opening a formal investigation
- An informal inquiry feels like a friendly conversation — it's not
- Everything you say can be used to open a formal investigation
- Response: engage outside counsel, respond formally in writing, control the narrative

### Wells Notice (SEC)
- A Wells Notice means the SEC staff intends to recommend enforcement action
- You have the opportunity to submit a Wells Submission — arguing why enforcement is unwarranted
- Success rate is low but not zero — a strong Wells Submission can result in no charges or reduced charges
- You have approximately 30 days (negotiable) to respond

## Iowa-Specific
- Iowa AG: enforces Iowa consumer protection, privacy (ICDPA), and money transmission laws
- Iowa Division of Banking: money transmission licensing and enforcement
- Iowa Racing and Gaming Commission: gambling regulation enforcement
- State investigations often precede federal ones — a state inquiry is an early warning sign

## Organizational Incident Response Plan (Build Before You Need It)
1. Designated outside counsel (federal criminal + regulatory) retained and on file
2. Internal investigation protocol document
3. Litigation hold template (ready to send within 1 hour)
4. Key contacts: criminal defense attorney, civil regulatory attorney, PR crisis firm
5. Pre-drafted communications to: board (if applicable), investors, employees
6. Cybersecurity forensics firm on retainer (for parallel digital forensics response)

## Relevant Statutes
- 18 U.S.C. § 1001: False statements to federal agents (5-year felony)
- 18 U.S.C. § 1503: Obstruction of justice (10-year felony)
- 18 U.S.C. § 1519: Destruction/alteration of documents (20-year felony)
- 18 U.S.C. § 1956: Money laundering (20-year felony)
- 15 U.S.C. § 78j(b): Securities fraud (20-year felony)
- 7 U.S.C. § 13: CFTC fraud (10-year felony)

---
*This is legal research and intelligence, not legal advice. Consult qualified legal counsel before taking action.*