We represent businesses and individuals in government and regulatory investigations and in the defense of criminal or administrative charges. We have special expertise in the defense of charges relating to the securities industry.
We have represented securities and commodities firms and individual professionals, including broker/dealers, traders, principals, and investors. We also represent corporations and executives from a wide variety of industries, including technology companies, entertainment and media companies, art dealers, and consultants.
We have over twenty years of expertise representing clients against all types of business crime and financial fraud allegations, and have a history of success both in preventing charges from being brought and in obtaining successful results when charges are brought.
White Collar Crime
We defend white collar criminal matters, including securities fraud, financial fraud, money laundering, tax evasion, mail and computer fraud, and other matters.
We help clients anticipate and avoid regulatory problems, and defend actions brought by federal agencies (SEC, CFTC) and self-regulatory organizations (NASD, NYSE, and other securities and commodity exchanges); and we contest insider trading, self-dealing, front-running, and other civil and criminal trading complaints.
We have special expertise in sentencing guidelines and procedure, and knowledge of particular correctional facilities rules.
Corporate Counsel Obligations
We identify and spell out corporate legal department ethical obligations, and help clients perform internal investigations and answer sensitive questions - including when to commence an investigation, who should run an investigation, how to decide document confidentiality, and what steps to take at the conclusion of the investigation.