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White Collar Criminal Defense

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 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 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
  • 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 casino based in the Northern Mariana Islands in a criminal Bank Secrecy Act case, in which we successfully negotiated a deferred prosecution agreement
  • 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
  • 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 trader in a criminal market manipulation and securities fraud case in the Eastern District of New York
  • The former CFO of a public company in an insider trading investigation in the District of New Jersey
  • 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
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