White Collar Defense, Investigations & Compliance Counseling

  • 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.

Looking Forward

The COVID-19 pandemic caused systemic financial disruption, and created numerous vectors for bad actors to defraud private and public companies, and the government’s relief programs. We expect to see an increase in criminal investigations related to fraud/abuse of PPP loans and other government funds utilized to prop up the economy during the pandemic. Expect the Biden Administration to increase the use of criminal prosecutions and regulatory enforcement actions to target bad actors and entities in a more aggressive manner. We expect that the new administration will use white collar investigations and prosecutions as a means to regulate corporate and individual conduct in a way we have not witnessed over the last four years.