In today's climate of heightened scrutiny of the financial sector, securities issuers, and other investment industry participants, companies and executive leadership require more proactive counseling and compliance planning than ever before. Our team is highly experienced in navigating the complicated web of regulatory and compliance schemes to minimize the risks of transacting business while meeting the company's goals. And, if despite best efforts, these agencies take action, our lawyers are there to help guide an appropriate and measured response.
We have extensive experience in dealing with the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodities Futures Trading Commission (CFTC), the Department of Justice (DOJ), and other agencies. We regularly represent corporations and individuals being investigated or who have been charged in connection with fraudulent schemes related to financial institutions and investments, including Ponzi schemes, accounting fraud, mortgage fraud, and many other issues. We have represented clients in all phases of investigations, including internal investigations, DOJ investigations, resolution, and trial.
- Represented the CFO of a private company in a seven-week trial alleging participation in a fraudulent financing scheme, resulting in a mistrial and a complete dismissal for our client
- Represented a well-known broker-dealer as lead counsel in FINRA enforcement investigation regarding allegations of trading unregistered securities without appropriate money-laundering detection capabilities in place. Negotiated a favorable settlement with FINRA.
- Represented an energy trader facing prosecution for conspiracy to violate the Commodities Exchange Act, resulting in dismissal of the indictment and a guilty plea to a single false statements charge with no loss of liberty or interruption in employment for the client
- Represented an executive in connection with an industry-wide investigation by the DOJ and the SEC into alleged misconduct in the municipal bond industry, including charges of price-fixing, bid rigging, wire fraud, and false statements
- Represent a former employee of an investment firm in connection with a criminal investigation into a Ponzi scheme
- Represent a pool of current and former employees of a large investment bank in connection with multiple state and federal regulatory investigations with regard to residential mortgage-backed securities
- Served as an independent consultant under a settlement agreement between AIG and the government (DOJ and SEC), responsible for the review of major financial transactions entered into by AIG that raised concerns of accounting fraud or balance sheet manipulation