Capability Categories: Investigations & White-Collar Defense

  • SEC Enforcement Defense

    SEC Enforcement Defense

    SEC Enforcement Defense

    Decorative graphic
    Overview

    Securities litigation remains an ongoing threat to businesses and financial institutions. Our SEC Enforcement group is composed of lawyers – including former senior members of the US Securities and Exchange Commission (SEC) Division of Enforcement – who possess substantial experience covering the full spectrum of securities enforcement activity. Our lawyers are knowledgeable about the SEC as an agency, including its rules, practices and customs, and maintain excellent relations with staff of the Enforcement Division and Office of General Counsel.

    See more

    Results
    • John P. Flannery, the former chief investment officer of State Street Global Advisors, with complete exoneration of all charges brought by the SEC, alleging a host of violations arising from communications to investors during the subprime mortgage crisis.
    • A global health care manufacturer with its internal investigations overseas regarding issues of potential violations of the FCPA and UK Bribery Act, following a subpoena from the SEC.
    • An affiliated investment adviser, broker-dealer and the CEO and controlling shareholder in an SEC investigation and five related private civil actions arising from allegations of the misappropriation of client assets by a registered representative of the broker-dealer. We developed a strategy for managing the SEC investigation and the civil litigation, all of which were able to resolve successfully, allowing the companies to remain in business.

    See more

    Insights
    Events
    News
    Key contacts

    Paul M.G. Helms

    Partner

    Chicago, Washington, DC

    John P. Nowak

    Partner

    New York – 919 Third Avenue

    Additional capabilities

    White-Collar Defense & Government Investigations

    Anti-Corruption Investigations & Compliance

    Litigation & Dispute Resolution

    Securities Litigation

    Class Action

    ERISA Litigation

    Insurance Litigation & Counseling

    Private Client Disputes

    Supreme Court & Appellate Litigation

    Accounting & Consulting Services


  • Anti-Corruption Investigations & Compliance

    Anti-Corruption Investigations & Compliance

    Anti-Corruption Investigations & Compliance

    Decorative graphic
    Overview

    Effective anticorruption compliance is critical to any company operating internationally. We regularly conduct internal investigations of reported concerns under the Foreign Corrupt Practices Act (FCPA) and other anti-bribery laws to determine the veracity of allegations and to advise companies on responding effectively, including taking steps to reduce opportunities for future misconduct. We also defend companies and individuals in government enforcement and regulatory investigations by authorities in the United States and other countries.

    See more

    Results

    Our team of lawyers experienced in investigations and defense has successfully represented clients including the following:

    • A Fortune 100 telecommunications company in defense and settlement, creating FCPA precedent, of an SEC and DOJ investigation arising from the Middle East. This matter involved all aspects of the FCPA, including alleged payments to foreign officials, adequacy of books and records, and the presence of internal controls.
    • The chairman of the board of a major international pharmaceutical company in securing dismissal against allegations of FCPA violations in making payments to doctors employed by state-owned hospitals in Taiwan, Latin America and Europe. The dismissal of claims included related securities class action, an Employee Retirement Income Security Act (ERISA) class action, and a shareholder derivative suit arising from the allegations, and avoided criminal prosecution.
    • A US health care corporation, with operations in India, with conducting an FCPA internal investigation and implementing corrective action.

    See more

    Insights
    Events
    News
    Key contacts

    Edward B. Diskant

    Partner

    New York – One Vanderbilt Avenue

    Benton Curtis

    Partner

    Miami

    Simon Airey

    Partner

    London – 22 Bishopsgate

    Additional capabilities

    White-Collar Defense & Government Investigations

    SEC Enforcement Defense


  • White-Collar Defense & Government Investigations

    White-Collar Defense & Government Investigations

    White-Collar Defense & Government Investigations

    Decorative graphic
    Overview
    Navigating government scrutiny

    Government investigations and enforcement actions are among the most consequential matters a company or individual can face – they can be detrimental to your business, leadership, and reputation. From prevention through defense, our lawyers help you navigate government scrutiny, partnering with you to manage risk in high-stakes investigations, enforcement actions, and parallel proceedings.

    Our white-collar defense and government investigations team includes dozens of former senior officials from key US enforcement agencies, including the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC), and the Department of Health and Human Services (HHS). We instinctively understand how these agencies operate, allowing us to anticipate government strategies and shape yours accordingly.

    See more

    Additional capabilities

    Anti-Corruption Investigations & Compliance

    Antitrust

    Healthcare Defense

    International Trade

    Litigation & Dispute Resolution

    Technology & Privacy Litigation

    SEC Enforcement Defense

    Consumer Financial Protection (CFPB, FTC & State AG Enforcement)

    Criminal investigations and prosecutions

    Foreign Corrupt Practices Act (FCPA) and global anti-corruption

    Global investigations and compliance

    Healthcare and False Claims Act defense

    “This is the top team for high-end problems. Everyone loves working with them – they have the experience in dealing with regulators and an understanding of that landscape.”

    – Chambers USA, client testimonial

    “The professionalism, intelligence, creativity, and ability to work under extreme time pressures are just a few of their highest qualities.”

    – Best Law Firms®, client testimonial

    “[The firm’s] white-collar team provide[s] seamless coverage across jurisdictions for a variety of actions, risks, and compliance matters.”

    – Chambers USA, client testimonial

    Massachusetts: Litigation: White-Collar Crime & Government Investigati

    Massachusetts: Litigation: White-Collar Crime & Government Investigati

    Chambers USA

    Illinois: Litigation: White-Collar Crime & Government Investigations –

    Illinois: Litigation: White-Collar Crime & Government Investigations –

    Chambers USA

    New York: Litigation: White-Collar Crime & Government Investigations

    New York: Litigation: White-Collar Crime & Government Investigations

    Highly Regarded – Band 3, Chambers USA

    Tier 1, Criminal Defense: White-Collar

    Tier 1, Criminal Defense: White-Collar

    Best Law Firms US

    Insights
    Events
    News
    Key contacts

    Benton Curtis

    Partner

    Miami

    Edward B. Diskant

    Partner

    New York – One Vanderbilt Avenue

    Laura McLane

    Partner

    Boston