THOMAS F. LI

%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EBy%3C%2Fspan%3E+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Fmichael-r-huttenlocher%2F%22%3EMichael+R.+Huttenlocher%3C%2Fa%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%2C%3C%2Fspan%3E+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Flewis-zirogiannis-pc%2F%22%3ELewis+Zirogiannis%2C+P.C.%3C%2Fa%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%2C%3C%2Fspan%3E+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Fyoav-gaffney%2F%22%3EYoav+Gaffney%3C%2Fa%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%2C%3C%2Fspan%3E+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Fthomas-f-li%2F%22%3EThomas+F.+Li%3C%2Fa%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E+and%3C%2Fspan%3E+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Fabigail-blaker%2F%22%3EAbigail+Blaker%3C%2Fa%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3ECompanies%2C+executives+and+investors+increasingly+rely+on+AI+tools+to+draft+correspondence%2C+summarize+key+materials%2C+support+decision-making+and+prepare+for+discussions+with+counsel.+While+using+AI+is+not+inherently+problematic%2C+the+scope+of+attorney-client+privilege+and+work+product+protections+for+AI-related+exchanges+remains+unsettled.+Two%C2%A0recent+decisions%E2%80%94%3Cem%3EUnited+States+v.+Heppner+%3C%2Fem%3E%28%E2%80%9C%3Cem%3EHeppner%3C%2Fem%3E%E2%80%9D%29+from+the+Southern+District+of+New+York+and+%3Cem%3EWarner+v.+Gilbarco%2C+Inc.+%3C%2Fem%3E%28%E2%80%9C%3Cem%3EGilbarco%3C%2Fem%3E%E2%80%9D%29%2C+from+the+Eastern+District+of+Michigan%E2%80%94illustrate+how+these+protections+may+apply+depending+on+different+circumstances.+Although+these+rulings+reached+different+outcomes%2C+they+underscore+the+same+practical+lesson%3A+using+AI+tools+in+legal+workflows+may+pose+risks+unless+specific+safeguards+are+in+place.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%23be9b64%3B%22%3E%3Cstrong%3EBackground%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3E%3Cem%3E%3Cu%3EHeppner%3C%2Fu%3E%3C%2Fem%3E%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EAfter+learning+he+was+the+target+of+a+federal+criminal+investigation%2C+Bradley+Heppner+used+Anthropic%E2%80%99s+AI+platform+Claude+to+prepare+a+defense+for+his+potential+indictment+and+litigation.+Without+direction+from+his+attorneys%2C+Heppner+input+information+his+attorneys+had+shared+with+him+into+Claude+and+engaged+in+several+exchanges+with+the+tool%2C+generating+approximately+31+documents+outlining+potential+defense+strategies+and+Heppner%E2%80%99s+view+of+the+facts+and+law.+He+then+shared+Claude%E2%80%99s+outputs+with+his+defense+counsel.+When+the+FBI+seized+the+documents+during+Heppner%E2%80%99s+arrest%2C+his+counsel+asserted+attorney-client+privilege+and+work+product+protection+over+the+Claude+exchanges.+The+Government+moved+for+a+ruling+that+neither+protection+applied.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3E%3Cem%3E%3Cu%3EGilbarco%3C%2Fu%3E%3C%2Fem%3E%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EIn+an+employment+discrimination+case%2C+%3Cem%3Epro+se+%3C%2Fem%3Eplaintiff+Sohyon+Warner+used+OpenAI%E2%80%99s+ChatGPT+to+draft+filings+and+analyze+legal+questions.+The+defendants+moved+to+compel+production+of+all+AI-related+materials%2C+arguing+that+the+plaintiff+waived+work+product+protection+by+disclosing+the+materials+to+a+third-party+platform.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%23be9b64%3B%22%3E%3Cstrong%3EThe+Court%E2%80%99s+Holdings%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3E%3Cem%3E%3Cu%3EHeppner%3A+%3C%2Fu%3E%3C%2Fem%3E%3C%2Fstrong%3E%3Cstrong%3E%3Cu%3ENo+Protection%3C%2Fu%3E%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EOn+February+17%2C+2026%2C+Judge+Rakoff+held+that+Heppner%E2%80%99s+exchanges+with+Claude%E2%80%94a+publicly+available+AI+platform+that+permits+third-party+disclosure+of+user+inputs%E2%80%94were+not+protected+by+the+attorney-client+privilege+or+the+work+product+doctrine.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EThe+Court+rejected+Heppner%E2%80%99s+attorney-client+privilege+claim+on+multiple+grounds.+First%2C+Claude+is+not+an+attorney+and+discussions+of+legal+issues+between+non-attorneys+receive+no+protection.+Second%2C+Heppner%E2%80%99s+communications+with+Claude+were+not+confidential.+The+Court+emphasized+that+Anthropic%E2%80%99s+privacy+policy+explicitly+permits+the+company+to+collect+user+inputs+and+outputs%2C+use+that+data+for+AI+training+and+disclose+it+to+third+parties%2C+including+government+authorities%2C+thereby+removing+any+reasonable+expectation+of+confidentiality%2C+even+with+respect+to+information+Heppner+had+originally+received+from+counsel.+Third%2C+Heppner+did+not+communicate+with+Claude+to+obtain+legal+advice%3B+although+Heppner+later+forwarded+the+documents+to+his+counsel%2C+that+did+not+retroactively+protect+them+from+disclosure.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EThe+Court+also+rejected+Heppner%E2%80%99s+work+product+claim.+The+work+product+doctrine+protects+materials+prepared+by+or+at+the+direction+of+counsel+in+anticipation+of+litigation.+Here%2C+Heppner+prepared+the+AI+documents+of+his+own+volition%2C+and+although+Heppner+had+input+information+he+received+from+counsel%2C+the+documents+did+not+reflect+counsel%E2%80%99s+strategy+at+the+time+Heppner+generated+them.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3E%3Cem%3E%3Cu%3EGilbarco%3C%2Fu%3E%3C%2Fem%3E%3C%2Fstrong%3E%3Cstrong%3E%3Cu%3E%3A+Work+Product+Protection+Applies%3C%2Fu%3E%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EOn+February+10%2C+2026%2C+Magistrate+Judge+Patti+held+that+Warner%E2%80%99s+exchanges+with+ChatGPT+were+protected+by+the+work+product+doctrine.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EThe+Court+explained+that+Warner%2C+who+was+self-represented%2C+was+using+ChatGPT+to+prepare+legal+filings+and+that+her+exchanges+reflected+her+legal+strategy.+Moreover%2C+disclosure+to+ChatGPT+had+not+waived+the+protection%3A+the+court+explained+that+work+product+protection+%26%238220%3Bis+waived+only+when+documents+are+used+in+a+manner+contrary+to+the+doctrine%26%238217%3Bs+purpose%2C%26%238221%3B+specifically+by+disclosure+%26%238220%3B%3Cem%3Eto+an+adversary%3C%2Fem%3E+or+in+a+way+likely+to+get+in+an+adversary%26%238217%3Bs+hand.%26%238221%3B+According+to+the+Court%2C+generative+AI+tools+%26%238220%3Bare+%3Cem%3Etools%2C+not+persons%3C%2Fem%3E%2C+even+if+they+may+have+administrators+somewhere+in+the+background%2C%26%238221%3B+and+regardless%2C+Warner%E2%80%99s+disclosure+to+ChatGPT+was+not+likely+to+result+in+disclosure+to+Gilbarco+in+ordinary+circumstances.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3E%3Cu%3EReconciling+the+Two+Decisions%3C%2Fu%3E%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EAlthough+the+two+cases+reach+different+outcomes%2C+they+are+not+necessarily+inconsistent.+The+%3Cem%3Epro+se+%3C%2Fem%3Efooting+in+%3Cem%3EGilbarco+%3C%2Fem%3Emeaningfully+shaped+the+analysis%3A+because+the+plaintiff+represented+herself%2C+her+AI+exchanges+reflected+her+own+mental+processes+and+case+strategy.+By+contrast%2C+the+%3Cem%3EHeppner+%3C%2Fem%3Ecourt+emphasized+that+Heppner%E2%80%99s+exchanges+did+%3Cu%3Enot%3C%2Fu%3E+reflect+his+counsel%E2%80%99s+strategy+and+the+AI+platform+Heppner+used+permitted+disclosure+to+the+government%E2%80%94Heppner%E2%80%99s+actual+adversary.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%23be9b64%3B%22%3E%3Cstrong%3EImplications+for+Companies%2C+Executives%2C+and+Investors%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3ECompanies%2C+executives%2C+and+investors+increasingly+use+AI+to+support+core+workflows%2C+including+legal%3A+negotiating+agreements%2C+managing+compliance+matters%2C+assessing+potential+risks+and+liabilities%2C+responding+to+regulatory+inquiries+and+preparing+for+litigation.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EThese+decisions+carry+several+key+lessons.+First%2C+using+generative+AI+in+legal+workflows+should+be+limited+to+platforms+with+strong+confidentiality+protections%2C+typically+enterprise+deployments.+The+ruling+in+%3Cem%3EHeppner%3C%2Fem%3E%C2%A0is+limited+to+AI+platforms+whose+terms+permit+data+collection+and+third-party+disclosure%2C+including+government+authorities.+Second%2C+AI-generated+material+intended+for+use+in+litigation+should+be+prepared+at+counsel%E2%80%99s+direction.+Heppner%E2%80%99s+decision+to+act+independently+was+fatal+to+his+attorney-client+privilege+and+work+product+claims%3B+represented+parties+should+ensure+AI+use+occurs+within+the+attorney-client+relationship.+Third%2C+the+law+continues+to+evolve.+%3Cem%3EHeppner+%3C%2Fem%3Eattracted+significant+attention%2C+but+%3Cem%3EGilbarco+%3C%2Fem%3Eshows+courts+may+take+different+approaches+to+different+sets+of+facts.+Accordingly%2C+businesses+should+monitor+developments+and+consult+counsel+when+developing+AI+policies%E2%80%94and%2C+while+the+law+develops%2C+we+recommend+adopting+a+cautious+approach.+Consider+at+least+the+following+steps%3A%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%23be9b64%3B%22%3E%3Cstrong%3EPractical+Steps+for+Companies%2C+Executives+and+Investors+for+Using+AI+in+Legal+Workflows%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Col%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EKeep+privileged+materials+out+of+AI+platforms.%3C%2Fstrong%3E+Do+not+input+legal+documents+or+memos%2C+attorney+emails%2C+or+counsel%26%238217%3Bs+advice+into+non-enterprise+AI+platforms.%3C%2Fspan%3E%3C%2Fli%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EUse+enterprise+AI+with+meaningful+protections.%3C%2Fstrong%3E+Review+privacy+policies+for+data+sharing%2C+training+use+and+disclosure+to+authorities%2C+and+require+contractual+commitments+prohibiting+training+on+user+data+and+third-party+disclosure.+Merely+toggling+off+AI+training+options+is+helpful+but+may+not+be+adequate.%3C%2Fspan%3E%3C%2Fli%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EUse+consumer-facing+AI+tools+sparingly.%3C%2Fstrong%3E+Treat+non-enterprise+AI+as+a+third+party.+Anything+you+input+and+any+output+you+receive+may+be+produced+in+litigation+or+in+response+to+regulatory+inquiries.%3C%2Fspan%3E%3C%2Fli%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EBan+AI+notetakers+from+privileged+meetings.%3C%2Fstrong%3E+Do+not+use+AI+transcription+on+calls+with+counsel+or+internal+discussions+of+legal+advice.%3C%2Fspan%3E%3C%2Fli%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EInvolve+counsel+early.%3C%2Fstrong%3E+When+disputes%2C+investigations%2C+or+regulatory+matters+arise%2C+use+of+AI+should+only+be+at+counsel%26%238217%3Bs+direction%E2%80%94not+independently+undertaken%E2%80%94to+preserve+attorney-client+privilege+and+work+product+protection.%3C%2Fspan%3E%3C%2Fli%3E%0A%3Cli%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3ETrain+broadly.%3C%2Fstrong%3E+AI+policies+should+reach+board+members%2C+executives+and+employees%2C+not+just+in-house+counsel.%3C%2Fspan%3E%3C%2Fli%3E%0A%3C%2Fol%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%23be9b64%3B%22%3E%3Cstrong%3EConclusion%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EGenerative+AI+is+transforming+how+companies+and+investors+operate.+%3Cem%3EHeppner%3C%2Fem%3E+and+%3Cem%3EGilbarco+%3C%2Fem%3Edemonstrate+that+longstanding+legal+doctrines+continue+to+apply+to+new+technologies+and+that+privilege+and+work+product+determinations+will+often+turn+on+fact-specific+considerations.+These+decisions+do+not+mean+businesses+should+stop+using+AI.+But+businesses+should+be+smart+and+intentional+in+how+they+use+AI%2C+with+special+attention+paid+when+legal+issues+are+involved.%3C%2Fspan%3E%3C%2Fp%3E%0A

%3Ch3%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cem%3EA+Recent+DOJ+Decision+Provides+Guidance+to+Private+Equity+Firms%3C%2Fem%3E%3C%2Fspan%3E%3C%2Fh3%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3Eby+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Flewis-zirogiannis-pc%2F%22%3ELewis+Zirogiannis%2C+P.C.%3C%2Fa%3E+and+%3Ca+href%3D%22https%3A%2F%2Fmcllp.com%2Fpeople%2Fthomas-f-li%2F%22%3EThomas+F.+Li%3C%2Fa%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EEvery+time+a+private+equity+sponsor+acquires+a+new+business%2C+there+is+a+risk+of+uncovering+previously+unknown+information+post-closing%2C+regardless+of+how+thorough+due+diligence+was+prior+to+closing+the+transaction.+What+happens+if+a+private+equity+firm+finds+out+after+closing+that+its+newly+acquired+business+has+been+engaging+in+criminal+conduct%3F+Recent+actions+from+the+United+States+Department+of+Justice+%28DOJ%29+provide+potential+pathways+to+avoiding+criminal+charges+against+the+private+equity+firm+as+well+as+the+newly+acquired+business.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EOn+June+16%2C+2025%2C+the+DOJ%E2%80%99s+National+Security+Division+%28NSD%29+and+the+U.S.+Attorney%E2%80%99s+Office+for+the+Southern+District+of+Texas+%28SDTX%29+%28together%2C+the+Justice+Department%29+announced+that+they+%3Ca+href%3D%22https%3A%2F%2Fwww.law360.com%2Farticles%2F2354040%2Fattachments%2F0%22+target%3D%22_blank%22+rel%3D%22noopener%22%3Edeclined+to+prosecute%3C%2Fa%3E+the+private+equity+firm+White+Deer+Management+LLC+%28White+Deer%29+after+White+Deer+discovered+and+self-disclosed+U.S.+economic+sanction%2C+export+control+and+tariff+evasion+violations+committed+by+a+company+it+acquired%2C+Unicat+Catalyst+Technologies+LLC+%28Unicat%29.+As+part+of+the+resolution%2C+Unicat+entered+into+a+%3Ca+href%3D%22https%3A%2F%2Fwww.law360.com%2Farticles%2F2354040%2Fattachments%2F1%22+target%3D%22_blank%22+rel%3D%22noopener%22%3Enon-prosecution+agreement%3C%2Fa%3E+%28NPA%29.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EThis+resolution+provides+guidance+on+the+application+of+the+NSD%E2%80%99s+March+2024%3Ca+href%3D%22https%3A%2F%2Fwww.justice.gov%2Fnsd%2Fmedia%2F1285121%2Fdl%3Finline%3D%22+target%3D%22_blank%22+rel%3D%22noopener%22%3E+Enforcement+Policy+for+Business+Organizations%3C%2Fa%3E+%28NSD+Enforcement+Policy%29+and%2C+in+particular%2C+the+provisions+that+apply+to+Voluntary+Self-Disclosures+in+Connection+with+Acquisitions+%28the+NSD+M%26amp%3BA+Policy%29.+It+also+highlights+how+voluntary+and+timely+self-disclosure+by+a+private+equity+firm+of+criminal+misconduct+of+an+acquired+entity+discovered+post-closing+can+result+in+a+decision+not+to+prosecute.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EWhite+Deer+Discovery+of+Unicat%E2%80%99s+Misconduct%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EIn+June+2021%2C+after+White+Deer+had+acquired+Unicat+and+a+separate+company%2C+Unicat%E2%80%99s+new+CEO+began+a+process+of+integrating+and+merging+Unicat+with+this+separate+company.+During+this+process%2C+the+CEO+learned+that+Unicat+had+a+pending+transaction+with+a+customer+in+Iran+%E2%80%93+a+violation+of+U.S.+economic+sanctions+laws+%E2%80%93+and+immediately+canceled+the+transaction.+This+news+surely+came+as+a+surprise+given+that+Unicat+represented+and+warranted+in+the+acquisition+agreement+that+Unicat%E2%80%99s+operations+complied+with+U.S.+sanctions+and+export+control+laws.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EWhite+Deer+and+Unicat+engaged+counsel+to+investigate+Unicat%E2%80%99s+compliance+with+applicable+U.S.+economic+sanctions+laws.+The+investigation+revealed+that%2C+from+2014+to+2021%2C+Unicat+made+sales+to+customers+in+Iran%2C+Venezuela%2C+Syria+and+Cuba%2C+all+in+violation+of+U.S.+economic+sanctions+laws.+Additionally%2C+Unicat+employees+falsified+invoices+to+reduce+tariffs+on+goods+imported+from+China%2C+thereby+avoiding+certain+duties%2C+taxes+and+fees.%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3E%3Cstrong%3EWhite+Deer+and+Unicat+Voluntarily+Disclose+to+the+NSD%3C%2Fstrong%3E%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3ERecognizing+the+gravity+of+these+discoveries%2C+White+Deer+and+Unicat+submitted+a+voluntary+disclosure+to+the+NSD.+In+deciding+whether+to+prosecute+White+Deer+or+Unicat%2C+the+NSD+considered+the+factors+set+forth+in+the+NSD+M%26amp%3BA+Policy%2C+which+provides%3A+%3C%2Fspan%3E%3C%2Fp%3E%0A%3Cp%3E%26nbsp%3B%3C%2Fp%3E%0A%3Cp%3E%3Cspan+style%3D%22color%3A+%237f7f7f%3B%22%3EW%3C%2Fspan%3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