In a number of instances, the firm has been able to persuade prosecutors and/or regulators to terminate an ongoing investigation and forego the filing of formal charges against our clients. Such representative matters include:
- Represented an international businessman in a public corruption investigation conducted by the U.S. Attorney’s Office for the Eastern District of New York;
- Represented a nationally-known, public figure in a bank fraud and tax fraud investigation conducted by the U.S. Attorney’s Office for the Western District of Wisconsin;
- Represented a trader suspected of Martin Act violations in the highly publicized late-trading and market-timing investigation conducted by then-New York Attorney General Elliot Spitzer;
- Represented the owner of a Florida brokerage firm in a securities fraud and tax fraud investigation conducted by the U.S. Attorney’s Office in Washington, D.C.;
- Represented the owner of a major “feeder-fund” entity in connection with a large-scale, off-shore commodities fraud investigation spear-headed by the U.S. Attorney’s Office for the Southern District of Florida;
- Represented a Florida stock broker for extensive trading in two bank take-over stocks in an insider trading probe conducted by the SEC in Washington, D.C.;
- Represented a South Florida businessman in a health care fraud investigation conducted by the U.S. Department of Justice in Washington, D.C.; and
- Represented the president of an oil and gas venture in an investigation conducted by the SEC in Texas.
The firm has represented clients in numerous white collar criminal cases and regulatory actions throughout the country. Such representative cases include:
- Represented the head trader and part-owner of a well-known hedge fund in a criminal securities fraud case brought by the U.S. Attorney’s Office for the Southern District of Florida;
- Represented a financial analyst in an international bribery and accounting fraud investigation conducted by the U.S. Attorney’s Office for the Southern District of New York;
- Represented the CEO of a publicly-traded company in a large-scale criminal securities fraud case brought by the U.S. Attorney’s Office for the Northern District of California;
- Represented a brokerage firm for the alleged receipt of “soft dollar” kickbacks in a parallel criminal/civil securities fraud investigation jointly conducted by the U.S. Department of Justice and the SEC in Washington, D.C.;
- Represented a stock trader in a securities fraud case brought by the U.S. Attorney’s Office for the Eastern District of North Carolina;
- Represented a real estate executive in a civil insider trading case brought by the SEC in the the Southern District of Florida;
- Represented a New York lawyer in a civil securities fraud case brought by the SEC in the Southern District of New York;
- Represented a stock broker in a civil insider trading case brought by the SEC in the Southern District of Florida;
- Represented the CFO of a publicly-traded company in a financial fraud investigation conducted by the SEC in Washington, D.C.;
- Represented the former Chief of the CIA Office in Algiers accused of criminal sexual misconduct (while in office) in a case brought by the State Department’s Diplomatic Security Service and the U.S. Attorney’s Office in Washington, D.C.; and
- Served as local counsel for a New York law firm on behalf of a client charged with the illegal exportation of equipment to Iran in a case brought by the U.S. Attorney’s Office in Washington, D.C.