practice areas

White Collar, investigations & Regulatory Defense

The firm’s white-collar, investigations, and regulatory defense practice is a national practice based in New York and Washington D.C. led by of a team of highly regarded Chambers ranked first chair trial lawyers. We represent individuals, companies and institutions in prosecutions, government investigations, and regulatory enforcement actions, including those brought by the Department of Justice, the Securities and Exchange Commission (SEC), FINRA, Congress and state attorney generals. Our areas of expertise include securities and business fraud, health care fraud, tax fraud, antitrust, public corruption, the Foreign Corrupt Practices Act, and national security.

We also conduct internal investigations on behalf of corporate clients and advise on regulatory compliance, and represent individual employees, directors, and officers in corporate internal investigations. The lawyers in HSW's white collar, investigations, and regulatory defense practice have served as federal and state public defenders and include a Fellow in the American College of Trial Lawyers, a Fellow in the American Board of Criminal Lawyers, and a past president of the National Association of Criminal Defense Lawyers. HSW's white collar, investigations, and regulatory defense practice is a Ranked Department and three of our lawyers received individual rankings in White-Collar Crime & Government Investigations in Chambers USA 2024. Representative matters include:

Federal Trials

Antitrust prosecution in Florida of an oncologist, resulting in a mistrial and a no jail time resolution prior to a second trial.
Antitrust prosecution in Colorado of executives for poultry producers, resulting in dismissal of the charges against one executive following two trials, each of which ended in a hung jury, and acquittal of a second executive in a third trial.
Public corruption prosecution in Virginia of defense contractor, resulting in acquittal on all counts.
Fraud prosecution in New York relating to the failed sale of Maxim magazine, resulting in an acquittal on the primary counts and a six-month sentence on the remaining count.
SEC enforcement action in New York, following a multi-year investigation, a month-long federal jury trial and all appeals, resulting in his complete exoneration.
Securities fraud prosecution in Texas of a former executive of Enron Corp. charged in federal court in Texas with securities fraud, resulting in acquittal of all charges, following a month-long jury trial, and the dismissal of an SEC enforcement action.

Federal Trade Commission enforcement action in New York alleging fraud, resulting in a favorable verdict.

Favorable resolutions without trial

Represented Julian Assange, who was charged in the federal court in Virginia with violating the Espionage Act, resulting in a favorable resolution that led to his immediate release from prison.
Represented one of the first persons charged in cryptocurrency fraud, obtaining a favorable pre-trial resolution.
Represented of an individual defendant in the Galleon insider trading case in New York, resulting in a no jail time plea.
Represented Fortune 500 manufacturer in resolutions with the Department of Justice and the Securities and Exchange Commission related to corruption in the U.N Oil-for-Food Program.
Represented a former AIG executive in Connecticut who was the target of a criminal investigation, obtaining a non-prosecution agreement and no action by the SEC.

Federal criminal appeals and other post-conviction matters

Retained following the conviction of a public official in a federal criminal case in Texas, resulting in a post-trial motion vacating the convictions and obtaining a new trial and a successful appeal.
Retained following the conviction of a CPA for embezzling from an insurance company in an alleged scheme to benefit a U.S. congressman, resulting in a reversal of the conviction by the federal appeals court in San Francisco and dismissal of the case.
Obtained vacatur of fraud sentence on appeal on the basis that the sentence violated the US Sentencing Guidelines.
Obtained reversal of denial of habeas relief on appeal on the basis that the district court failed to hold necessary evidentiary hearing.
On appeals to district court and court of appeals, obtained and preserved reversal of bankruptcy order directing production of materials in violation of client’s Fifth Amendment rights.

State criminal trials and other state matters

On-going representation of owner and chief executive officer of healthcare agency in investigation by New York State Attorney General’s Office Medicaid Fraud Unit.
Criminal sexual assault prosecution in Washington D.C. of a prominent criminal defense lawyer, resulting in an acquittal on all counts.

Fraud prosecution by New York State Controller and Bronx County District Attorney’s Office against a children’s healthcare company, resulting in non-criminal dispositions.
Represented officers in Executive Law 63(12) action by New York State Attorney General’s Office, resulting in a non-criminal disposition.

Government, congressional, and regulatory investigations

On-going representation of four bank executives in investigation by FDIC, SIPC and the Department of Justice.
Represented registered representative in FINRA enforcement action through hearing and appeal; matter pending on appeal before the SEC.
Represented executives of oil services company in Foreign Corrupt Practices Act investigation, resulting in corporate resolution with the Department of Justice and the Securities and Exchange Commission and no action taken against the individual executives.

Represented members of Congress in House Ethics Committee investigations.
Represented congressional staff member in Jack Abramoff scandal.

Internal investigations

We frequently represent companies and individuals in internal investigations. When representing companies, labor unions and non-profits, we conduct investigations efficiently, with an eye on the law and the business goals, and with no pre-determined outcome. Also, we respond to criminal or regulatory enforcement inquiries and/or advise on potential voluntary self-disclosure. 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 maintaining a good relationship with the company or organization and managing the individual’s exposure to criminal or regulatory enforcement.

Significant pro bono representations

Representation of man wrongfully convicted of murder in Baltimore who had served 25 years in prison, obtaining a writ of actual innocence and compensation
Representation of the Chief Military Commissions Defense Counsel at Guantanamo Bay, obtaining reversal of an order finding him in contempt and sentencing him to 21 days confinement after he refused to rescind his decision permitting three non-military defense attorneys in a death penalty case to resign for ethical reasons.
Representation of a man wrongfully convicted of murder in Manhattan who had served 18 years in prison, resulting in reversal of the conviction, dismissal of the case, and his immediate release from prison.
Representation of a man convicted of a double homicide in Long Island who had served 17 years, resulting in reversal of the convictions, his immediate release from prison, dismissal of the case, and compensation.

TESTIMONIALS

He [Barry Pollack] is an exceptional trial lawyer and a nationally known go-to for complex matters.
— Litigation: White-Collar Crime & Government Investigations respondent USA
Jonathan [Harris] is enormously effective.
— Litigation: White-Collar Crime & Government Investigations respondent USA
He [Andrew St. Laurent] is a brilliant legal mind.
— Litigation: White-Collar Crime & Government Investigations respondent USA