Our attorneys specialize in white collar criminal and civil defense.  We have many years of experience in the defense of individuals who are either under investigation by government authorities or who have been charged with federal or state offenses. We have also defended businesses and accounting firms in investigations as well as civil and criminal litigation involving financial reporting fraud, insider trading, investment adviser regulation, broker/dealer regulation, and regulatory enforcement actions brought by state and federal authorities.  Our practice also includes handling matters in which our clients are confronting simultaneous criminal, civil, and regulatory investigations by the Department of Justice, the Securities and Exchange Commission, the Commodities Futures Trading Commission, the National Futures Association, and the Financial Industry Regulatory Authority.

Representative Work

  • Obtained favorable verdict in the first SEC stock option backdating case to be tried to a jury.

  • Obtained preliminary injunction in ~$400 million financial fraud.

  • Represented auditing firm in confidential SEC investigation and succeeded in convincing government agency not to file charges.

  • Represented corporate executive in SEC insider trading investigation and obtained favorable settlement.

  • Represented numerous individuals and businesses in financial fraud and insider trading cases brought by the SEC.

  • Represented investment advisers in CFTC investigation and litigation and obtained favorable settlement.

  • Represented broker-dealer in FINRA investigation.

  • Conducted numerous internal investigations for corporate clients.

White Collar