White Collar Defense

Our lawyers have successfully defended clients facing federal and state investigations and handle white collar matters in nearly all substantive areas, including securities fraud, financial institution fraud, mail and wire fraud, FCPA, public corruption, insider trading, money laundering, RICO, stock market manipulation, tax fraud, identity theft, corporate embezzlement, and mortgage fraud.  We frequently represent clients in criminal investigations and cases brought by the United States Department of Justice and U.S. Attorneys’ Offices around the country, as well as federal regulators such as the SEC. We also have significant experience representing clients during so-called “parallel” investigations by multiple regulators at the same time.  We guide our clients safely through government inquiries, with the clear intent of resolving government investigations discreetly, without prosecution or other public action.

Strategic Preventative Advice

Our clients include corporations, investment management companies, brokerage firms, officers, directors and executives. We help them through the judgment calls necessary to efficiently manage risk, defend investigations and preserve their business stability and reputation. Taking a proactive approach, we offer our clients strategic preventative advice on establishing, maintaining and enforcing compliance programs and addressing corporate governance issues. While addressing immediate concerns, we also evaluate the risks posed by government agencies and an aggressive plaintiffs’ bar.

Our understanding of the way government investigators, regulators, and prosecutors build cases enables us to head off or shorten investigations and avoid liability where possible – and is based on our lawyers’ deep white collar experience.

Grand Jury and Subpoena Response

Responding to a grand jury or a federal investigation subpoena involves far more than furnishing information to the investigating authorities.  While responding to subpoenas and provding witnesses are important and required parts of dealing with a grand jury or federal agency investigation, successfully navigating the perils associated with an active investigation requires much more.

On behalf of corporate and individual clients, our lawyers have managed mulit-year, multi-target grand jury investigations involving numerous witnesses and worked with prosecuting and investigating agencies, in many instances to avoid indictment.

Preparing a strategic course for collecting and producing documents typically requested by a federal agency or prosecuter on behalf of a grand jury. Discovering and analyzing the information being provided to the federal agency or grand jury from all sources to glean all the nuances of the case the prosecution is attempting to build.
Developing theories of defense to the charges being investigated. Managing the intricacies of communications with other possible subjects or targets of the investigation and developing effective formal joint defense agreements.
Filing motions before the appropriate court when the prosecution overreaches, or taking other steps to minimize the burdens and disruption of an investigation. Safeguarding legal privileges that protect certain information against disclosure.
Directly engaging with prosecutors who will make charging decisions to negotiate the terms under which testimony will be provided to the grand jury, including proffers and immunity, and to press legal and factual theories. If needed, advocating against charges being brought, through discussions with and presentations to the prosecutors and their superiors in a U.S. Attorney’s Office, the Department of Justice or relevant federal and/or state agency.

Criminal and Regulatory Defense of Securities Matters

Our white collar defense and securities lawyers are thoroughly knowledgeable about the regulatory underpinnings and business operations of investment advisers, investment companies, broker-dealers, financial firms and public companies subject to SEC and DOJ oversight and investigation.  Applying our depth of knowledge and experience, we devise sound strategies, maintain credibility with government agencies and obtain efficient and successful resolutions for our clients.

Credible Internal Investigation

We have directed the most complex and challenging internal investigations to successful conclusion, helping our clients resolve critical concerns such as whether to disclose findings, waive privileges or take remedial measures. Lawyers in our White Collar practice work closely with lawyers in the firm’s other practice areas to ensure that our clients benefit from the breadth and depth of the firm’s experience.