White Collar Defense & Government Investigations
Our Litigation Group has significant experience in the areas of white-collar criminal defense, regulatory enforcement and internal investigations, representing corporations as well as individuals in some of their most sensitive, complex and high-stakes matters.
Depth of Experience
Our lead Litigation Group partners, including former state and federal prosecutors, have advocated for clients in dozens of trials, including some of the most widely publicized matters of the day. As a result, we have a substantial record of guiding our clients through the myriad legal, business, disclosure and other issues that emerge in such cases. The exceptional depth of trial experience in our department is an important asset.
Our approach is proactive, efficient and tailored to the specific needs of each client. We seek to be practical. However, we have and will deploy the full depth of firm resources as needed to ensure the most successful outcome possible for our clients.
Our firm size and focus on complex capital markets, securities, business, and real estate issues facilitate closely coordinated legal strategies involving senior partner attention. We regularly obtain both subject matter and legal support from partners in other practice areas, including our Securities, Corporate, Capital Markets, Bankruptcy, Tax, Employment and Advertising groups, to analyze and develop a seamlessly coordinated strategy for complex criminal and regulatory matters. We also work closely with our commercial litigators when there are parallel or related civil actions.
When our corporate clients suspect internal wrongdoing, we conduct internal investigations to determine the scope of the problem, work toward resolving it and guide our clients through the process of regulatory scrutiny. When handled successfully, the results of internal investigations can help deter or blunt regulatory intervention and exposure to civil litigation. Our internal investigations have included investigating alleged violations of the Foreign Corrupt Practices Act (FCPA) and the federal securities laws, among other issues.
We have represented our clients in connection with investigations, regulatory enforcement actions, and prosecutions brought by a wide variety of federal and state authorities, including the U.S. Department of Justice, various U.S. Attorneys’ Offices, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA, formerly NASD), the Federal Trade Commission (FTC), the New York State Attorney General, various state prosecutors and district attorneys’ offices, and New York’s Judicial Conduct Commission. These matters have likewise included investigations concerning alleged violations of, among other things, the FCPA and the federal securities laws.
With our vast experience in criminal and regulatory enforcement, we understand how the government builds cases, which is critical in responding to investigations, negotiating agreements, and minimizing liability. Often, we have been instrumental in resolving such matters prior to any public action on the part of the regulatory authority or by entering into acceptable agreements that avoid liability.
However, in the event of a formal prosecution or enforcement action, we advocate tirelessly for our clients, leveraging our substantial experience at the investigation, trial and appellate level.
A Broad Client Base
Our corporate clients come from a wide variety of industries, including securities, banking and capital markets (especially broker-dealers, hedge funds, investment banks, and foreign and U.S. commercial banks), accounting, high tech, construction, and real estate. We also represent the directors, officers, and employees of such companies.
- Conducted internal investigation for public industrial company regarding suspected violations of the Foreign Corrupt Practices Act by its wholly owned Chinese subsidiary.
- Conducted internal investigation on behalf of private company into alleged fraudulent billing practices conducted by executives and employees in New York satellite office.
White Collar Criminal and Regulatory Matters
- Represent employee of major international bank in connection with FCPA investigation conducted by the Department of Justice and Securities and Exchange Commission.
- Represent former officer and two employees of foreign oil and gas company in connection with FCPA prosecution by Department of Justice.
- Represented public software company in connection with criminal investigation by the SEC and U.S. Attorney for the Eastern District of New York related to alleged bribery scheme.
- Represented Chinese company in defense of action brought by the U.S. Attorney for the Southern District of New York under the False Claims Act, alleging scheme to avoid payment of customs duties.
- Represented individual in connection with criminal and civil investigations by the U.S. Attorney for the Southern District of New York, related to Bernard L. Madoff Investment Securities.
- Represented witnesses in connection with criminal prosecution by the U.S. Attorney for the Southern District of New York, related to corruption case against State Senator Carl Kruger.
- Represented individual in connection with SEC and CFTC investigation into improper setting of LIBOR rate.
- Represented Italian banker in connection with proceedings related to massive fraud committed by Italian dairy giant, Parmalat.
- Represented CEO of charter school in connection with investigation by New York Attorney General.
- Represented Israeli individual in connection with federal investigation into alleged extortion of rabbi, theft of funds from Yeshiva, and purported Federal Election Law violations.
- Represented witness in Israeli criminal prosecution of former Prime Minister Ehud Olmert.
- Represented public gaming company in connection with investigation by Albany District Attorney into State Lobbying Act violations and related investigation by New York State Temporary Commission on Lobbying.
- Represented investor in connection with investigation by U.S. Attorney for the Southern District of New York into online gambling company.
- Represented investment banker in connection with Department of Justice investigation into bid rigging in the underwriting of municipal bonds.
- Defended airline executive in Department of Justice investigation into price-fixing of fuel surcharges by air carriers.
- Represented doctors in connection with investigation by U.S. Attorney for the District of New Jersey into remuneration awarded by medical device companies for consulting services.
- Represented public company in connection with SEC enforcement investigation into alleged improper disclosures pursuant to Section 13 of the Securities Exchange Act and Rule 13d-1.
- Represented individual in connection with criminal prosecution, by the U.S. Attorney for the Southern District of New York, of former Democratic Party fundraiser Norman Hsu.
- Represented analyst in connection with federal insider-trading investigation.
- Defended former trader in connection with federal prosecution for insider trading and related, parallel SEC enforcement action.
- Represented insurance broker in connection with SEC investigation into allegedly improper management and oversight practices.
- Defended company officer in connection with criminal prosecution by U.S. Attorney for the Southern District of New York for bank fraud.
General Criminal and Related Litigation
- Defended New York City police officer charged with criminal drug offense and obtained acquittal after trial in Queens County.
- Defended individual who pled guilty to federal charges calling for U.S. Sentencing Guidelines sentence of 78 to 97 months and obtained sentence of no prison time and 5 years of supervised release.
- Represented individual in connection with litigation regarding alleged stock options backdating at Cablevision Systems Corp.
- Represented witness in connection with civil action brought by Liquidating Trustee of Bernard L. Madoff Investment Securities.
- Represented New York State Supreme Court Justice in trial of formal complaint asserted by the New York State Commission on Judicial Conduct.
- New York Law Journal Publishes Article on the Rise of Covid-19 Fraud Schemes Amid the Pandemic by Robert AppletonJune 28, 2021The New York Law Journal