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 Biden DOJ will increase corporate investigations and prosecutions of executives as an outgrowth of the policies it set into motion in 2021, including requiring disclosure of all individual wrongdoers in order to earn corporate cooperation credit and its focus on recidivist corporate conduct. Its new National Cryptocurrency Enforcement Team will headline a nationwide and international effort to stymie the use of cryptocurrencies to facilitate criminal activities. Targeted activities will range from the use of crypto as a means of payment in ransomware attacks; crypto to facilitate illegal trade, money laundering and tax avoidance; and pump-and-dump schemes targeting crypto investors. In carrying out this aggressive agenda, expect greater global enforcement collaboration on the anti-bribery front and more generally.