Our firm has built a sought-after white-collar crime and investigations practice led by respected former government attorneys from the U.S. Attorney’s Office, the Manhattan District Attorney’s Office, the Federal Defender’s Office, the Securities and Exchange Commission and state securities agencies, as well as authorities in the defense of the financial services industry. This collection of talent gives our clients access to leading lawyers with valuable inside-out knowledge and experience in white-collar and investigatory matters.
The group’s broad investigative, trial and appellate experience provides early resolution of potential criminal problems; the ability to deal directly with regulatory and government agencies to avoid the harmful consequences of government action, where possible; and, if necessary, the ability to successfully defend companies or their management at trial.
Internal Investigations
Our attorneys represent a number of Fortune 100 companies, including major financial institutions, members of audit committees, controllers, treasurers and other financial officers in public and private corporations, in connection with criminal and regulatory investigations, including investigations involving:
- Violations of the Foreign Corrupt Practices Act
- Accounting irregularities
- Hedge funds
- Mutual fund practices
- Improper trading and market manipulations
- Money laundering
- Insider trading
- Employee fraud
- Employment discrimination and harassment claims
Clients use our internal investigation services not only in response to regulatory action and litigation, but also to identify potential criminal problems, enhance compliance procedures and avoid reoccurrence.
Regulatory Defense
Our white-collar practice teams with our other practices to defend clients in a broad range of investigations and enforcement actions brought by regulatory bodies across the country, including the Securities and Exchange Commission, Financial Industry Regulatory Authority (formerly the National Association of Securities Dealers), the Department of Labor, the New York Stock Exchange, the American Stock Exchange, the National Futures Association, the Commodity Futures Trading Commission, the Chicago Board of Options Exchange, the Chicago Board of Trade and the Chicago Mercantile Exchange.
We advise clients at every step of the process, including in preliminary investigations, responding to subpoenas for testimony and documentation, and formal proceedings, grand jury investigations and trial.
Criminal Proceedings
White-Collar group members also have significant criminal and civil trial experience, ensuring that the services provided by the group are designed to reduce or eliminate trial exposure. We are also adept in responding to grand jury proceedings and defending clients in regulatory proceedings or criminal trials.