practice areas

Criminal & regulatory defense

We defend individuals, employees, partnerships and companies against federal and state criminal investigations and prosecutions, against regulatory actions including those brought by the SEC, and in internal investigations. We also advise on regulatory compliance.

Federal Criminal and related civil actions

We defend persons and entities who are being investigated, or who have been charged, in criminal cases and in civil actions by the Department of Justice. Representative cases include:

  • Trial defense of an attorney charged in the Southern District of New York with fraud relating to the failed sale of Maxim magazine.

  • Defense of the family of the former president of Taiwan in civil in rem forfeiture actions brought by the DOJ against properties in the United States relating to bribery allegations.

  • Defense of Chris “Jesus” Ferguson in civil forfeiture allegations brought by the DOJ in connection with the operation of Full Tilt Poker.

  • Representation of an individual defendant in the Galleon insider trading case.

investigations by regulators and compliance

We advise clients on regulatory compliance, and defend against regulatory investigations brought by the SEC, other federal agencies, state agencies, and self-regulatory organizations including FINRA and the NYSE. Representative matters include:  

  • The complete exoneration of a prominent financial advisor against all charges brought by the SEC following a multi-year investigation, a month long federal jury trial and all appeals.

  • Successful defense of an individual charged in the Southern District of New York with fraud by the Federal Trade Commission.

  • On-going representation of the CEO of the New York office of an international brokerage firm charged with violations of the Investment Advisors Act in the SDNY.

  • Successful representation of former principals of a broker-dealer in action brought by the Securities Investor Protection Corporation.

  • On-going representation of registered representative charged with tens of millions of dollars of “outside sales” in multi-year FINRA investigation.

  • Successful representation of former employee of financial institution in follow-on action seeking millions of dollars in restitution in alleged fraud and defamation scheme.

  • Advice regarding whether the structuring of certain transactions would require our client to register as a broker-dealer or and investment advisor.

internal investigations

We frequently represent individuals and companies in internal investigations. When representing an individual employee or partner, we prepare our client to meet with company counsel or investigators, with the goal of protecting our client's career and reputation while being cooperative and maintaining a good relationship with the company. When representing companies, we conduct investigations efficiently, with an eye on the law and the business goals, and with no pre-determined outcome.

state court criminal

We defend clients against the full range of charges in New York State criminal and family courts. Recent representations include:

  • Successful defense of fraud charges brought by New York State Attorney General’s Office against director and officer of not-for-profit corporation.

  • Complete dismissal of forgery and possession of controlled substance charges against client charged by New York County District Attorney’s Office.

  • Dismissal without adverse findings of complaint made against client in New York County Family Court.

  • Defense of fraud charges brought by the New York State Controller and Bronx County District Attorney’s Office against a child healthcare company, resulting in non-criminal dispositions of charges against our client.