When Law Enforcement Comes Knocking–What Are Your Options?

The Scheduled Interview or Testimony (part 4 of 5)

Surprise interviews are certainly not the only way the government gets information from witnesses.  Another method to obtain information is the scheduled interview where the witness usually has his attorney present, and where the agents are often joined by prosecutors.  But like surprise interviews, there are many pitfalls associated with scheduled interviews and it is critical that the witness be properly prepared, as I will discuss in this fourth part of my series on government interviews.

Preparation is the Key

So how should you get ready for a scheduled interview?

  • Retain an experienced white collar defense attorney.
  • Carefully review the facts of the case.
  • Carefully review any relevant documents that you have access to.
  • Then decide whether to even participate in the interview.

–   Interviews with prosecutors are voluntary.

–   In certain instances, however, agencies such as the SEC can mandate sworn, on-the-record testimony.

Seek a Proffer Agreement (If Immunity Is Unavailable)

Of course, the first thing an attorney should seek for his or her client if the client has criminal exposure is immunity from prosecution before an interview takes place.  If immunity is not an option, and it often isn’t, then a proffer agreement should be obtained.

A “proffer agreement” provides limited legal protection to an individual:

  • If the government later prosecutes you, they can’t offer into evidence during their case-in-chief any statements you made during the interview.

But the legal protections are very limited:

  • The government can use any information obtained from you to pursue leads to other evidence, and can use such evidence in any prosecution of you.
  • If the government prosecutes you and you testify, the government can use any statements made by you during the interview to cross-examine you.

Grand Jury Subpoenas

You can be compelled to appear before a grand jury by subpoena:

  • If you are granted immunity, you will be required to testify concerning the facts you are questioned about.
  • If you are compelled to appear but not given immunity, and you have criminal exposure, you can invoke your 5th Amendment rights and refuse to answer the questions asked.

What to Do (and Not Do) During the Interview or Testimony


  • Tell the truth
  • Tell only what you remember − it’s okay to say “I don’t recall”
  • Ask for clarification if needed
  • Talk to your attorney alone if you need to
  • Have your attorney cut off the interview if you become uncomfortable


  • Lie
  • Speculate
  • Overstate or Exaggerate
  • Minimize
  • Keep silent if it may mislead
  • Conceal or Cover-up

The Martha Stewart Case

Perhaps the best known case of an individual who was prosecuted for statements made during a scheduled interview is the Martha Stewart case, which is summarized below.

The Charges (6/4/03)

  • False Statements, §1001 (2 counts)
  • Obstruction of Justice
  • Criminal Conspiracy

The Trial and Conviction

  • 5-week jury trial
  • Conviction on 3/10/04 on all 4 counts
  • CNN legal analyst Jeffrey Toobin:

“This was a total rout.  The story she told investigators after she made the stock trade simply didn’t add up.”

The Sentence

  • Stewart was sentenced in July 2004 to 5 months in federal prison and 2 years supervised release, including 5 months of home confinement with electronic monitoring.  She served her sentence at the federal prison in Alderson, West Virginia.

What Stewart Should Have Done

  • Refused to talk to the government and kept quiet, as she was the target of an insider trading investigation.
  • Taken the 5th if compelled to testify by subpoena.
  • If determined to talk to the government (perhaps to try to protect her image), she had to tell the truth.


  • If you agree to a scheduled interview with the government you must be well prepared for that interview and, perhaps most importantly, you must be completely truthful at the interview.  And don’t go to the interview alone.  Retain an experienced white collar defense lawyer to go with you.

Contact Me Now If You Have Questions – Even if you are outside New York and New Jersey, I work with experienced white collar defense attorneys across the country.  After we speak, I can make an introduction.

This blog is the fourth of five that I’ll be posting on the issue of government interviews.  If you’d like to learn more, please feel free to reach out to me at (212) 592-1513.  I practice white collar criminal defense and securities and bank regulatory defense in New York, New Jersey and elsewhere, and my contact information is included in the link below.


David Rosenfield

View this post on Instagram

Justin Paperny is the cofounder of White Collar Advice (@whitecollaradviceofficial), a Calabasas company that well-heeled convicts facing prison hire to help them deal with the experience. His past clients reportedly include Martha Stewart and Bernie Madoff. “Let Us Take The Confusion and Headache Out Of Preparing For Sentencing, Prison and Probation,” the company’s website cheerily states. Paperny, whose fees can run into the six figures, says he’s already been hired by one person caught up in the college admissions scandal and been contacted by a half dozen others. Visit the link in bio for more information and advice (or maybe this only applies to Lori Loughlin and Felicity Huffman). ⠀⠀

A post shared by Los Angeles Magazine (@lamag) on

Federal Prison Consultant Joins CNN To Discuss College Admissions Cheating Scandal

When I joined the New Day Program at CNN last month I suspected they would suggest our team at White Collar Advice helps white-collar defendants buy their way out of federal prison. If you have a few minutes watch the video below to learn how I respond to those types...

Public Relations Firms Should Not Write Statements For Federal Defendants In College Scandal Case

As someone who is intimately involved in the college admissions cheating scandal, I feel compelled to share my thoughts. To start, it is a good thing defendants in the case are starting to accept responsibility. As I have said on Fox News and CNN they have a duty and...

The Scheduled Interview or Testimony
Rate this post
Last Day In Federal Prison Camp

It is never too late to start preparing…Download Lessons From Prison Now to discover what is truly possible in federal prison.

You have Successfully Subscribed!

Inside you’ll learn how to properly prepare for your sentencing hearing.

You have Successfully Subscribed!

Yes, Justin please send me a free copy of Lessons From Prison NOW.

Yes, Justin please send me a free copy of Lessons From Prison NOW.

Step 1 of 2: Help us better understand where you're in your journey.

You have Successfully Subscribed!

Our FREE New Course Reveals 7 Habits You Must Master In Prison

You have Successfully Subscribed!

Sorry Course Is Full. Register Below To Learn When We Are Reopening

You have Successfully Subscribed!

Sorry Course Is Full. Register Below To Learn When We Are Reopening

You have Successfully Subscribed!

Inside you’ll learn how to properly prepare for your sentencing hearing.

Inside you’ll learn how to properly prepare for your sentencing hearing.

You have Successfully Subscribed!