Our firm’s attorneys have experience representing individuals, corporate employees, and businesses in investigations and prosecutions by government and regulatory agencies.
We represent clients in federal and state regulatory investigations by agencies including the Securities and Exchange Commission (SEC), and in proceedings before self-regulatory organizations such as FINRA and the New York Stock Exchange. We also have experience representing clients in white collar criminal cases involving a variety of allegations, including insider trading and other securities fraud violations, bribery, mail and wire fraud, money laundering, Racketeer Influenced and Corrupt Organizations Act (RICO) and conspiracy, insurance fraud, healthcare fraud, visa fraud, public corruption, larceny, and embezzlement. Our experience includes representing clients at all stages of criminal proceedings, from responding to grand jury subpoenas to negotiating with prosecutors, trial, sentencing, appeal, and post-conviction relief proceedings.
Our firm’s attorneys also have experience helping clients to prevent or quickly resolve regulatory, civil, and criminal investigations and proceedings. We have conducted internal investigations for corporate clients to identify potential causes of wrongdoing, and have developed compliance programs or performed compliance audits or reviews of existing compliance programs. These measures can be key to mitigating the criminal penalties companies face under the Federal Organizational Sentencing Guidelines and to minimizing exposure to shareholder liability.
Here are some of the outcomes our lawyers have achieved for our clients:
- Represented client in federal bribery jury trial to verdict.
- Represented client in federal insider trading and securities fraud jury trial (resolved with plea agreement dismissing most serious securities fraud counts), and parallel SEC enforcement action. Internal investigation of policies and procedures of national debt collection company for state-appointed monitor.
- Represented investment adviser in SEC enforcement proceeding alleging misuse of soft dollars.
- Represented Big Four accounting firm partner in SEC enforcement proceeding alleging accounting restatement fraud.
- Represented broker-dealer in parallel criminal and SEC enforcement proceedings. Obtained favorable results at trial and appellate level for numerous clients sentenced under the Federal Sentencing Guidelines.