Practice Areas
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White Collar Defense, Investigations, and Compliance Counseling

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Our White Collar Defense, Investigations and Compliance Counseling Group represents domestic and international companies, financial institutions and individuals  in domestic, international, and cross-border governmental investigations and enforcement actions, internal investigations, litigation, arbitrations, and commercial disputes.

The Murphy & McGonigle team of former federal prosecutors and enforcement attorneys has represented companies and individuals accused of business crimes,  Foreign Corrupt Practices Act violations, public corruption, securities law violations and other fraudulent practices by the Department of Justice Criminal Division, the U.S. Attorney’s Offices, State Attorneys General, District Attorneys’ Offices, the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the Federal Energy Regulatory Commission. We work with companies to conduct internal investigations and represent individual exec-utives in corporate internal investigations. In criminal prosecutions, enforcement actions and regulatory matters, we have represented broker-dealers, registered representatives, hedge funds, investment advisors and corporate executives. In some of our most important victories, we have convinced criminal and enforcement authorities not to proceed against our clients.

Our approach on any given matter is tailored to achieving the best possible result for our client in light of the circumstances that provoke the interest of governmental enforcement agencies, potential claimants or litigation opponents. Where possible, the Group seeks to assist our clients proactively in avoiding the problems that lead to governmental investigations, formal proceedings and disputes, and to position our clients to achieve the best possible result when adversarial proceedings become necessary. We therefore routinely support our clients through counseling, training, and the development of fulsome compliance programs to address and meet current and future governmental and regulatory requirements and expectations.

Group members are Department of Justice, United States Attorney’s Office, SEC and CFTC alumni with substantial investigative, regulatory, arbitration, mediation, enforcement and federal and state trial and appellate experience.


Latest:

Representative engagements

  • Representing a number of financial industry professionals, as well as a financial services firm, in multiple insider trading investigations, including defending charges brought in federal court by the SEC and the U.S. Attorney’s Office. 
  • Representing a penny stock newsletter and company executive in response to a SEC subpoena for documents and testimony.
  • Representing a Canadian executive charged by the SEC in federal court with securities fraud and selling unregistered securities. 
  • Representing a major equity market participant in responding to a New York Attorney General’s Office subpoena related to high frequency trading issues.
  • Representing a start-up technology firm in an SEC investigation into the company’s funding sources. 
  • Represent senior trader and co-desk head for brokerage firm in connection with CFTC investigation of benchmark manipulation.
  • Representing a senior energy trader in an ongoing FERC investigation. 
  • Advising global advisory/corporate relations firm on anti-bribery policies and procedures. 
  • Representing a financial services firm and individuals in ongoing Department of Justice inquiries into mortgage-backed securities transactions.