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White Collar and Regulatory Enforcement

Overview

Experience You Can Count On

When facing government investigations or sensitive inquiries, entities and individuals require the counsel of experienced lawyers who understand the high stakes and unique challenges posed by such circumstances. Our deep bench of skilled and experienced former prosecutors and government enforcement officials assuredly guide companies and individuals following the receipt of a law enforcement subpoena, regulatory inquiry, or internal complaint. We work collaboratively with our clients from the outset to triage and evaluate the matter and engage with the government officials, while also working with clients to ensure that key stakeholders are promptly briefed. As a matter progresses, we craft and execute thoughtful strategies designed to achieve optimal outcomes.

Members of Crowell’s White Collar and Regulatory Enforcement Group are consistently recognized by Chambers USA, U.S. News & World Report-Best Lawyers (National Tier) and Global Investigations Review for their talent and skill.

Comprehensive Investigation and Defense Teams

We are accustomed to handling complex matters, often involving parallel and multinational investigations by the Department of Justice (DOJ), the Federal Bureau of Investigation (FBI), and other law enforcement agencies such as the U.S. Securities & Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Internal Revenue Service (IRS), Financial Industry Regulatory Authority (FINRA), Offices of Inspectors General (OIGs), Office of Foreign Assets Control (OFAC), Congressional committees, independent and special counsels, and State Attorneys General.

We represent and defend clients across a wide spectrum of federal and state criminal and regulatory actions conducted by these and other enforcement and regulatory agencies and lead internal investigations into a wide variety of matters. Our representations include:

  • Accounting and Financial Misconduct Investigations
  • Anti-Corruption and FCPA
  • Anti-Money Laundering (AML) & Sanctions Counseling and Investigations
  • Antitrust Investigations
  • Congressional Investigations
  • Crisis Management
  • False Claims Act and Procurement Fraud
  • Federal and State Government Investigations
  • Independent Monitorships and Audit Committee Guidance
  • Insider Trading
  • Internal Investigations
  • Labor and Employment Investigations
  • National Security Investigations and Counseling
  • Privacy and Cybersecurity Investigations
  • Securities Fraud and Financial Investigations
  • Trade Secrets and Insider Threats Investigations
  • Whistleblower Investigations

Trusted and Knowledgeable Counsel

Numerous members of our team have served in key roles in federal and state enforcement agencies, including the DOJ, various U.S. Attorney’s Offices, the SEC, the Department of the Treasury, the Federal Trade Commission (FTC), the Environmental Protection Agency (EPA), and State Attorneys General Offices.

This deep bench of experience gives our team the ability to provide clients with both an insider’s understanding of how government agencies approach and prosecute enforcement matters and the ability to translate those insights into clear and careful guidance to clients so they know what to expect in crisis situations and how to manage them.

Crowell’s White Collar and Regulatory Enforcement experiences includes:

  • A former Assistant Director for Transactional Threats and former U.S. Department of Treasury lawyers specializing in Office of Foreign Assets Control (OFAC) sanctions and Anti-Money Laundering
  • A former Chief Counsel and former Attorney-Advisor in the Treasury Department’s Financial Crimes Enforcement Network (FinCEN) 
  • Former federal prosecutors for DOJ in the National Security Division, Antitrust Division, Criminal Fraud Section, Enron Task Force, Tax Division, and top U.S. Attorney’s offices
  • Former senior enforcement attorneys with the SEC’s Division of Enforcement and Office of International Affairs
  • Former Inspector General of the nation’s 17 intelligence agencies

Global Representation and Advice

Government and regulatory inquiries and internal investigations needs do not stop at the border. Our team handles matters around the globe, assisting clients in navigating complex investigations and crisis scenarios. Our global footprint provides the ability to be flexible and nimble in serving our clients. Crowell’s representations have spanned more than 80 countries and six continents.

Crowell Collaboration Benefits Clients

To provide clients with comprehensive advice and guidance, our experienced professionals routinely and seamlessly engage with Crowell’s sophisticated regulatory practices including highly regarded health care, government contracts, antitrust, international trade, and financial services teams.

Crowell’s team also enlists and manages external experts to support our clients, including forensic accountants, economists, computer forensics and data experts, e-discovery providers, and crisis communications experts. Identification of expert needs and effective collaboration is a critical part of providing clients with the best legal advice.  Our experience allows us to identify and work with the right team to produce the right result.

Insights

Event | 04.08.24 - 04.10.24

2024 ACAMS The Assembly Hollywood Conference

The Anti-Money Laundering Act of 2020 (AMLA) and subsequent amendments created a new FinCEN Whistleblower Program specifically to report potential Bank Secrecy Act, sanctions, and money laundering violations. Today, the whistleblower provisions are an important consideration as part of an institution’s BSA/AML and sanctions compliance.

Join Crowell partner Anand Sithian for an insightful panel at the 2024 Association of Certified Anti-Money Laundering Specialists (ACAMS) Assembly Hollywood Conference, where the panel will discuss this new program, FinCEN’s new Office of the Whistleblower, and how institutions can assess the adequacy of their internal reporting mechanisms to further ensure regulatory compliance. 

The panel will be moderated by Kelly Cooper, CAMS, Vice President, Global Financial Crimes Compliance, JPMorgan Chase & Co., and will include fellow panelist Matthew Haslinger, Executive Vice President, Chief BSA/AML/OFAC Officer, M&T Bank.

For more information on Crowell’s thought leadership on the FinCEN whistleblower program, please visit: Treasury eyes bank whistleblowers as it steps up sanctions enforcement; DOJ official: People ‘drawing the right conclusions’ on national security focus; One Year Later: Addressing Whistleblower Risks Under the AMLA

Representative Matters

  • Represent public and privately held companies and individuals in a wide range of government and internal investigations under the FCPA, and provide related compliance counseling.  Our attorneys have negotiated successfully and obtained multiple declinations and an unprecedented dual non-prosecution agreement from DOJ and SEC on behalf of our clients.
  • Work with corporate victims of criminal offenses, including representation of a major U.S. chemical company in parallel criminal and civil proceedings that resulted in the conviction of a foreign corporate competitor for trade secrets theft and a $175 million criminal restitution order in favor of our client.
  • Crowell attorneys have been court-appointed as monitors for the New York City District Council of Carpenters and, serve on the monitor team for the International Union, United Automobile, and Aerospace and Agricultural Implement Workers of America.
  • Defend Fortune 500 companies in FCA investigations and litigation in the health care and government contractor sectors.
  • Serve as counsel for the Special Litigation Committee of a global Fortune 100 technology company in connection with securities fraud and breach of fiduciary duty.
  • Represent corporate and individual clients in connection with DOJ Antitrust investigations involving price fixing, bid rigging, and hiring practices including “no-poach” agreements.
  • Defend publicly-traded companies, board members, and individuals responding to FINRA, SEC, and DOJ inquiries and investigations concerning potential insider trading.
  • Represent traders, salespeople, and compliance professionals at financial institutions in criminal and regulatory investigations by DOJ, SEC, and CFTC of alleged manipulation of benchmark rate settings and other alleged market manipulation.
  • Representing senior executives and investment professionals at major financial institutions in connection with off-platform communication reviews as part of a massive sweep by the SEC.
  • Represent public companies in connection with both internal and SEC enforcement inquiries related to alleged cybersecurity breaches including the “SolarWinds” incident.

Insights

Event | 04.08.24 - 04.10.24

2024 ACAMS The Assembly Hollywood Conference

The Anti-Money Laundering Act of 2020 (AMLA) and subsequent amendments created a new FinCEN Whistleblower Program specifically to report potential Bank Secrecy Act, sanctions, and money laundering violations. Today, the whistleblower provisions are an important consideration as part of an institution’s BSA/AML and sanctions compliance.

Join Crowell partner Anand Sithian for an insightful panel at the 2024 Association of Certified Anti-Money Laundering Specialists (ACAMS) Assembly Hollywood Conference, where the panel will discuss this new program, FinCEN’s new Office of the Whistleblower, and how institutions can assess the adequacy of their internal reporting mechanisms to further ensure regulatory compliance. 

The panel will be moderated by Kelly Cooper, CAMS, Vice President, Global Financial Crimes Compliance, JPMorgan Chase & Co., and will include fellow panelist Matthew Haslinger, Executive Vice President, Chief BSA/AML/OFAC Officer, M&T Bank.

For more information on Crowell’s thought leadership on the FinCEN whistleblower program, please visit: Treasury eyes bank whistleblowers as it steps up sanctions enforcement; DOJ official: People ‘drawing the right conclusions’ on national security focus; One Year Later: Addressing Whistleblower Risks Under the AMLA

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Professionals

Insights

Event | 04.08.24 - 04.10.24

2024 ACAMS The Assembly Hollywood Conference

The Anti-Money Laundering Act of 2020 (AMLA) and subsequent amendments created a new FinCEN Whistleblower Program specifically to report potential Bank Secrecy Act, sanctions, and money laundering violations. Today, the whistleblower provisions are an important consideration as part of an institution’s BSA/AML and sanctions compliance.

Join Crowell partner Anand Sithian for an insightful panel at the 2024 Association of Certified Anti-Money Laundering Specialists (ACAMS) Assembly Hollywood Conference, where the panel will discuss this new program, FinCEN’s new Office of the Whistleblower, and how institutions can assess the adequacy of their internal reporting mechanisms to further ensure regulatory compliance. 

The panel will be moderated by Kelly Cooper, CAMS, Vice President, Global Financial Crimes Compliance, JPMorgan Chase & Co., and will include fellow panelist Matthew Haslinger, Executive Vice President, Chief BSA/AML/OFAC Officer, M&T Bank.

For more information on Crowell’s thought leadership on the FinCEN whistleblower program, please visit: Treasury eyes bank whistleblowers as it steps up sanctions enforcement; DOJ official: People ‘drawing the right conclusions’ on national security focus; One Year Later: Addressing Whistleblower Risks Under the AMLA

Insights

Event | 04.08.24 - 04.10.24

2024 ACAMS The Assembly Hollywood Conference

The Anti-Money Laundering Act of 2020 (AMLA) and subsequent amendments created a new FinCEN Whistleblower Program specifically to report potential Bank Secrecy Act, sanctions, and money laundering violations. Today, the whistleblower provisions are an important consideration as part of an institution’s BSA/AML and sanctions compliance.

Join Crowell partner Anand Sithian for an insightful panel at the 2024 Association of Certified Anti-Money Laundering Specialists (ACAMS) Assembly Hollywood Conference, where the panel will discuss this new program, FinCEN’s new Office of the Whistleblower, and how institutions can assess the adequacy of their internal reporting mechanisms to further ensure regulatory compliance. 

The panel will be moderated by Kelly Cooper, CAMS, Vice President, Global Financial Crimes Compliance, JPMorgan Chase & Co., and will include fellow panelist Matthew Haslinger, Executive Vice President, Chief BSA/AML/OFAC Officer, M&T Bank.

For more information on Crowell’s thought leadership on the FinCEN whistleblower program, please visit: Treasury eyes bank whistleblowers as it steps up sanctions enforcement; DOJ official: People ‘drawing the right conclusions’ on national security focus; One Year Later: Addressing Whistleblower Risks Under the AMLA