We have represented numerous individuals and corporations in criminal, regulatory and civil proceedings concerning alleged violations of the federal securities laws, such as insider trading and accounting fraud. In these matters, we regularly deal with the United States Department of Justice, the Securities and Exchange Commission, as well as self-regulatory organizations such as the Financial Industry Regulatory Authority (“FINRA”). We have also represented individuals and corporations under investigation for alleged violations of New York State’s Martin Act.

In addition, we have represented individuals and corporations in civil litigation alleging securities fraud, including shareholder class action and derivative lawsuits.

Representation of individuals and corporations in such matters also requires addressing collateral consequences to convictions or other dispositions. For regulated individuals and corporations, unfavorable dispositions can result in bars against working in the securities industry in various capacities. For professionals such as attorneys and accountants, unfavorable dispositions can result in bars against practicing before the Securities and Exchange Commission or bars by state licensing agencies or industry associations. We have extensive experience in counseling clients with respect to these additional and significant considerations.

Our clients have included:

  • The global treasurer of a major financial institution in an investigation by the Department of Justice, Securities and Exchange Commission, and Commodities Futures Trading Commission, and in parallel civil litigation.
  • The founder and principal of a prominent brokerage firm in an investigation by a United States Attorney’s Office and the Securities and Exchange Commission concerning allegations of securities fraud and related charges.
  • Several members of the legal department of a large, publicly traded company in an investigation by a United States Attorney’s Office and the Securities and Exchange Commission and related shareholder civil actions concerning accounting irregularities.
  • Numerous individuals in investigations by the Department of Justice, Securities and Exchange Commission and FINRA concerning allegations of insider trading.
  • NYSE floor specialists and clerks in an investigation by a United States Attorney’s Office, the Securities and Exchange Commission and the New York Stock Exchange Division of Enforcement concerning allegations of improper trading.
  • Several individuals in investigations by the New York State Attorney General’s Office concerning allegations of market timing and late trading in mutual funds.
  • In-house counsel for a major global financial services firm in an investigation by the Manhattan District Attorney’s Office and the Securities and Exchange Commission concerning challenged Enron financing transactions.
  • Numerous individuals involved in investigations by the New York State Attorney General’s Office brought under New York State’s Martin Act.