Katy Caldwell guides clients through high-stakes civil litigation in federal and state courts around the United States. She represents clients across industries, including private equity firms and their portfolio companies, investment advisers, medical device manufacturers, pharmaceutical companies and health care providers.
Katy leverages her extensive civil litigation experience to advise clients on trial and discovery strategy in complex commercial disputes, business tort claims, civil False Claims Act matters, and deal-related litigation. She also helps clients anticipate and manage litigation risks, particularly in the context of due diligence, complex transactions and pre-litigation contractual disputes. In addition, Katy has experience navigating clients through sensitive internal investigations and responses to government inquiries and investigations.
Beyond her commercial work, Katy is deeply committed to pro bono and public service. Her pro bono practice includes advocating for clients seeking asylum and temporary protected status, participating in class-action litigation related to the Massachusetts Emergency Assistance shelter program, and drafting amicus briefs on behalf of nonprofit organizations. Katy also serves on the board of Raising a Reader Massachusetts, a nonprofit focused on family engagement in early literacy.
Complex Civil Litigation & Disputes
- Counsels clients in post-closing disputes in health care, biotech and pharmaceutical transactions, and in PE-sponsored transactions.
- Defended a financial institution in a high-profile, fast-paced class action alleging an unprecedented theory under the federal Trafficking Victims Protection Act.
- Represented a private equity sponsor in a novel, expedited Delaware merger litigation concerning the application of a “material adverse event” clause in light of an acquisition target’s performance during the COVID-19 pandemic.
- Served as plaintiff’s trial counsel during a three-week RMBS trial alleging breaches of representations and warranties by a mortgage underwriter, seeking repurchase of thousands of mortgage loans and hundreds of millions of dollars in damages.
- Served as trial counsel defending an individual accused of trade-secret misappropriation, breach of contract and breach of M.G.L. c. 93A in a dispute among 3D printing companies in federal district court in Massachusetts.
- Defended a university in arbitration alleging fraud in connection with an intellectual property-related license agreement.
- Defended an executive against alleged breaches of fiduciary duty based on insider trading allegations and violations of non-competition and non-solicitation covenants.
False Claims Act, Anti-Kickback Statute and Stark Law Litigation
- Defends major pharmaceutical and medical device companies in False Claims Act litigation involving alleged kickbacks and off-label marketing violations.
- Defended a dozen corporate entities and individuals in an FCA suit seeking $7 billion in damages for alleged fraudulent inducement with respect to federal grant programs and state Medicaid contracts.
- Represented a major health care provider in a whistleblower suit alleging a fraudulent billing scheme and falsified visit data.
- Litigated an FCA claim on behalf of a hospital system defending against alleged violations of the FCA based on implied certification theory and alleged kickback violations.
- Represented a medical coding company in FCA litigation alleging upcoding theory in the home health industry.
Investigations and Inquiries
- Conducted an investigation on behalf of a medical device company into whistleblower and retaliation allegations by a key employee.
- Responded to a civil investigative demand issued to a private equity firm in connection with a DOJ investigation of a potential acquisition target.
- Coordinated sensitive internal investigations of various executives allegedly involved in personal misconduct.
- Represented various clients in responding to inquiries from the Financial Industry Regulatory Authority.
- Represented employees of a defense contractor in a DOJ investigation regarding alleged False Claims Act violations.
- Counseled several international investment advisers in investigations and litigation concerning FOREX transactions.
- Secured declination of prosecution of individuals in investigation by the DOJ, FBI and NASA OIG concerning alleged false statements involving a NASA Small Business Innovation Research grant.