We defend companies and hedge funds, as well as individual officers, traders, bankers, analysts, portfolio managers, attorneys and other professionals in federal and state criminal investigations across the country. Our experience on white collar issues is comprehensive, and includes cases involving securities fraud, insider trading, financial statement and accounting fraud, market manipulation, money laundering, and health care fraud, as well as antitrust, FCPA, and export control violations. We have a strong track record of shutting down investigations before charges are filed. Where a negotiated solution that works for our clients is not possible, we are fully prepared to defend them before a judge and a jury.
Representative Matters
- A founder of BitMEX, a cryptocurrency derivatives exchange, in a Southern District of New York criminal prosecution alleging violations of the Bank Secrecy Act based upon an alleged failure to have BSA-compliant anti-money laundering and know-your-customer policies. This criminal case was resolved with no prison or fine imposed, together with the settlement of a CFTC enforcement action with payment of a monetary penalty.
- An executive from a cryptocurrency mining business in a District of New Jersey criminal prosecution alleging wire fraud conspiracy and conspiracy to sell unregistered securities.
- The owner of a credit-card processor in a Southern District of New York criminal case alleging conspiracy, mail fraud, and wire fraud
- An executive at a generic pharmaceutical company in a DOJ Antitrust Division criminal investigation
- An executive of a large automobile manufacturer in a DOJ fraud investigation of diesel-automobile emissions testing
- An attorney at a large US bank in parallel investigations concerning sales practice misconduct involving, among other things, opening accounts without customer authorization
- An investment banker in parallel investigations conducted by the Eastern District of New York, the Central District of California, the DOJ’s Money Laundering and Asset Recovery Section, the DOJ’s Fraud Section, the Securities and Exchange Commission, and the Federal Reserve into alleged fraud and money laundering involving a foreign sovereign-wealth fund
- A business owner in a federal tax, money laundering, and fraud investigation
- A mortgage banker in a federal investigation of allegedly fraudulent applications for commercial real estate mortgages
- A pharmaceutical sales representative in a District of New Jersey investigation of alleged kickbacks
- An official of an international soccer organization in a prosecution in the Eastern District of New York
- A New York City employee in criminal investigations concerning alleged campaign finance irregularities
- A hedge fund manager in a securities fraud investigation concerning misappropriation of investor assets
- An employee of an internet technology company in a Southern District of New York criminal case alleging fraudulent sales of online education services
- A marketing manager in a criminal antitrust investigation of alleged collusion in the market for generic drugs
- A business owner in a federal criminal investigation of an alleged bribery scheme involving the United Nations and certain foreign government officials
- A derivatives trader in a criminal investigation of alleged front running
- A trader in a criminal market manipulation and securities fraud case in the Eastern District of New York
REPRESENTATIVE MATTERS AT PRIOR FIRMS
- An RMBS trader in a first-of-its-kind criminal securities fraud case, in which the conviction was reversed based upon the record we built at trial
- A hedge fund manager in insider trading cases brought by the US Attorney’s Office for the Southern District of New York and the SEC
- A casino based in the Northern Mariana Islands in a criminal Bank Secrecy Act case, in which we successfully negotiated a deferred prosecution agreement
- Several former Lehman Brothers managing directors in government investigations
- A hedge fund in a Manhattan District Attorney’s Office criminal investigation of valuation practices
- A global computer server manufacturer in a federal grand jury investigation by the US Attorney’s Office for the Northern District of Texas involving export control violations
- A CEO in a federal grand jury investigation by the US Attorney’s Office for the District of New Jersey involving the Taft-Hartley and Hobbs Acts
- A pharmaceutical company in a federal investigation involving a cyberattack and theft of nonpublic information
- A specialty finance company in a Manhattan District Attorney’s Office investigation into the company’s lending practices that began with a search warrant, but which we successfully closed out in two months
- A NASDAQ listed technology company based in South Africa in parallel DOJ and SEC investigations into alleged violations of the FCPA, in which the SEC issued a closing letter
- A trader in DOJ’s LIBOR investigation
- An attorney in a criminal securities fraud investigation concerning the unlawful sale of restricted stock
- A major accounting firm in the negotiation of a deferred prosecution agreement relating to the sale of tax shelter products