White Collar Defense & Investigations
Staying ahead of allegations of misconduct—including violations of the federal securities laws, Foreign Corrupt Practices Act (FCPA), and other provisions covering fraud and abuse—is crucial to warding off civil and criminal liabilities, workplace disruptions, negative press, and potential follow-on legal actions. With stakes this high, companies and individuals must be proactive in both preventing misconduct and promptly responding to credible allegations of wrongdoing when they arise. Equally important, they must be prepared to defend themselves when the government comes knocking. Our proactive approach is underscored by a distinguished team, featuring former federal and state prosecutors and members of the SEC’s Division of Enforcement, ensuring a level of insight crucial to navigating the intricacies of white collar matters and internal investigations.
HOW WE HELP
Our seasoned attorneys have extensive experience conducting internal investigations for companies and defending corporations and individuals in a broad swath of government and regulatory investigations. We regularly appear before the Department of Justice (DOJ), the United States Securities and Exchange Commission (SEC), the United States Commodity Futures Trading Commission (CFTC), the Public Company Accounting Oversight Board (PCAOB), the States Attorneys General, and the Financial Industry Regulatory Authority (FINRA). We adeptly represent clients in investigations spanning the United States and global jurisdictions, conducting cross-border inquiries with precision and effectiveness.
Our clients include public and private companies, investment banking firms, banks, investment advisors, broker-dealers, hedge funds, private equity funds, accounting firms, law firms, and individuals who work for them. We have handled internal, government, and regulatory investigations into securities, commodities, health care, government contracts, antitrust, bribery, cryptocurrency, and workplace harassment and discrimination matters.
Drawing upon years of experience in white collar defense, securities litigation, corporate compliance, and fraud prevention, our team provides peace of mind through the deft handling of internal investigations and responding to inquiries from federal and state enforcement. We identify issues that need attention and remediate them in a manner that will satisfy regulators. We use our advocacy skills at every stage of an investigation to help frame the issues and to educate the regulators about our clients’ legal and factual defenses. We are often successful in dissuading the government from pursuing civil or criminal charges against our clients. When litigation cannot be prevented, we guide clients through settlement or trial, including in multimillion-dollar civil fraud actions and white collar criminal prosecutions. At every turn, we work to minimize liability and reputational damage.
Companies and Individuals call us when they require solutions to intricate challenges, including:
Financial Services Investigations:
- Extensive experience in detailed inquiries concerning financial sector.
- Address complex issues like insider trading, securities trading, accounting issues, business fraud, FCPA, and anti-money laundering compliance.
- Compliance training and advice for regulated entities.
- Provide counsel for meticulous internal investigations related to alleged misconduct.
- Offer expertise in responding to whistleblowers and advising on self-reporting.
Government Enforcement Actions:
- Guide clients through civil and criminal investigations with a multidisciplinary team including former prosecutors and SEC attorneys.
- Skilled construction of legal and factual defenses.
- Strategically aim to minimize risk, from disclosure and accounting issues to internal control violations.
- When necessary, defend and litigate civil or criminal actions.
- Significant trial experience in complex cases.
THE SEYFARTH EXPERIENCE
Leveraging the firm's national and international resources, with a particular focus on China and the United Kingdom, our multidisciplinary teams seamlessly integrate the expertise of Seyfarth's corporate, securities litigation, labor and employment, trade secrets, environmental, false claims, and government contracts teams. This collaboration allows us to provide comprehensive and sophisticated guidance in government enforcement defense, internal investigations, and false claims litigation, all delivered with the utmost candor. Through our advanced delivery platform, our team conducts efficient internal investigations, minimizing potential liability, controlling costs, preserving the client's reputation, and minimizing workplace disruptions.
In the dynamic landscape of white collar defense, our team has navigated and triumphed in a multitude of complex legal challenges. Here's a sampling of recent matters showcasing the prowess of our White Collar team:
- Bribery Prosecution Defense for Health Network CEO: Successfully represented the CEO of a health network in a bribery prosecution brought by the DOJ.
- Criminal Proceeding for Political Consultant: Defended a political consultant in a criminal proceeding and investigation related to an alleged bribery scheme involving former New York State Government officials and companies doing business with the State.
- DOJ and SEC Investigation for US Treasuries Trader: Provided legal counsel for a US Treasuries trader in a DOJ and SEC investigation related to allegations of spoofing and manipulative trading.
- DOJ and SEC Proceedings for Former Big 4 Partner: Represented a former partner of a Big 4 accounting firm in DOJ and SEC proceedings and a criminal trial regarding PCAOB examination disclosures.
- Insider Trading Investigation for Hedge Fund: Conducted an internal investigation for a multibillion-dollar hedge fund related to potential insider trading and represented the firm in the SEC investigation.
- International Bank Investigation: Represented a Canadian-based international bank in an NYAG investigation regarding its investment banking practices linked to services provided to a major subprime lender facing NYAG and CFPB complaints.
- Kickbacks and Gratuity Investigation for ETF Sponsor: Conducted an internal investigation for an ETF sponsor and registered investment advisor related to alleged kickbacks and gratuities paid to individuals on the firm’s institutional trading desk.
- Successfully represented a publicly held manufacturer and distributor of wood and wood products: Addressed product safety and disclosure issues in DOJ and SEC investigations.
Related News & Insights
-
Firm News
03/21/2024
Seyfarth Bolsters White-Collar and Investigations Capabilities with Addition of Partner Matthew Banham in London
-
Legal Update
02/08/2024
SDNY Breaks with Tradition in New Whistleblower Pilot Program
-
Media Mentions
12/15/2023
Arrival of Scott Morvillo, Ellen Murphy, Richard Morvillo, and Nicole Lloret at Seyfarth Featured in Seven Media Outlets
-
Firm News
12/11/2023
Seyfarth Expands Financial Services, Regulatory & White Collar Litigation Capabilities by Adding Four Lawyers in Litigation Team from Stroock
Recognition
-
Recognition
09/30/2022
Seyfarth Earns Top Rankings in Benchmark Litigation 2022
-
Recognition
09/22/2021
Seyfarth Earns Top Rankings in Benchmark Litigation 2021
-
Recognition
10/12/2020
Seyfarth Earns Top Rankings in Benchmark Litigation 2020
-
Recognition
05/30/2019
Seyfarth Earns Top Rankings in Legal 500 U.S. 2019
Staying ahead of allegations of misconduct—including violations of the federal securities laws, Foreign Corrupt Practices Act (FCPA), and other provisions covering fraud and abuse—is crucial to warding off civil and criminal liabilities, workplace disruptions, negative press, and potential follow-on legal actions. With stakes this high, companies and individuals must be proactive in both preventing misconduct and promptly responding to credible allegations of wrongdoing when they arise. Equally important, they must be prepared to defend themselves when the government comes knocking. Our proactive approach is underscored by a distinguished team, featuring former federal and state prosecutors and members of the SEC’s Division of Enforcement, ensuring a level of insight crucial to navigating the intricacies of white collar matters and internal investigations.
HOW WE HELP
Our seasoned attorneys have extensive experience conducting internal investigations for companies and defending corporations and individuals in a broad swath of government and regulatory investigations. We regularly appear before the Department of Justice (DOJ), the United States Securities and Exchange Commission (SEC), the United States Commodity Futures Trading Commission (CFTC), the Public Company Accounting Oversight Board (PCAOB), the States Attorneys General, and the Financial Industry Regulatory Authority (FINRA). We adeptly represent clients in investigations spanning the United States and global jurisdictions, conducting cross-border inquiries with precision and effectiveness.
Our clients include public and private companies, investment banking firms, banks, investment advisors, broker-dealers, hedge funds, private equity funds, accounting firms, law firms, and individuals who work for them. We have handled internal, government, and regulatory investigations into securities, commodities, health care, government contracts, antitrust, bribery, cryptocurrency, and workplace harassment and discrimination matters.
Drawing upon years of experience in white collar defense, securities litigation, corporate compliance, and fraud prevention, our team provides peace of mind through the deft handling of internal investigations and responding to inquiries from federal and state enforcement. We identify issues that need attention and remediate them in a manner that will satisfy regulators. We use our advocacy skills at every stage of an investigation to help frame the issues and to educate the regulators about our clients’ legal and factual defenses. We are often successful in dissuading the government from pursuing civil or criminal charges against our clients. When litigation cannot be prevented, we guide clients through settlement or trial, including in multimillion-dollar civil fraud actions and white collar criminal prosecutions. At every turn, we work to minimize liability and reputational damage.
Companies and Individuals call us when they require solutions to intricate challenges, including:
Financial Services Investigations:
- Extensive experience in detailed inquiries concerning financial sector.
- Address complex issues like insider trading, securities trading, accounting issues, business fraud, FCPA, and anti-money laundering compliance.
- Compliance training and advice for regulated entities.
- Provide counsel for meticulous internal investigations related to alleged misconduct.
- Offer expertise in responding to whistleblowers and advising on self-reporting.
Government Enforcement Actions:
- Guide clients through civil and criminal investigations with a multidisciplinary team including former prosecutors and SEC attorneys.
- Skilled construction of legal and factual defenses.
- Strategically aim to minimize risk, from disclosure and accounting issues to internal control violations.
- When necessary, defend and litigate civil or criminal actions.
- Significant trial experience in complex cases.
THE SEYFARTH EXPERIENCE
Leveraging the firm's national and international resources, with a particular focus on China and the United Kingdom, our multidisciplinary teams seamlessly integrate the expertise of Seyfarth's corporate, securities litigation, labor and employment, trade secrets, environmental, false claims, and government contracts teams. This collaboration allows us to provide comprehensive and sophisticated guidance in government enforcement defense, internal investigations, and false claims litigation, all delivered with the utmost candor. Through our advanced delivery platform, our team conducts efficient internal investigations, minimizing potential liability, controlling costs, preserving the client's reputation, and minimizing workplace disruptions.
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Related Practices
Related Key Industries
Additional Resource
In the dynamic landscape of white collar defense, our team has navigated and triumphed in a multitude of complex legal challenges. Here's a sampling of recent matters showcasing the prowess of our White Collar team:
- Bribery Prosecution Defense for Health Network CEO: Successfully represented the CEO of a health network in a bribery prosecution brought by the DOJ.
- Criminal Proceeding for Political Consultant: Defended a political consultant in a criminal proceeding and investigation related to an alleged bribery scheme involving former New York State Government officials and companies doing business with the State.
- DOJ and SEC Investigation for US Treasuries Trader: Provided legal counsel for a US Treasuries trader in a DOJ and SEC investigation related to allegations of spoofing and manipulative trading.
- DOJ and SEC Proceedings for Former Big 4 Partner: Represented a former partner of a Big 4 accounting firm in DOJ and SEC proceedings and a criminal trial regarding PCAOB examination disclosures.
- Insider Trading Investigation for Hedge Fund: Conducted an internal investigation for a multibillion-dollar hedge fund related to potential insider trading and represented the firm in the SEC investigation.
- International Bank Investigation: Represented a Canadian-based international bank in an NYAG investigation regarding its investment banking practices linked to services provided to a major subprime lender facing NYAG and CFPB complaints.
- Kickbacks and Gratuity Investigation for ETF Sponsor: Conducted an internal investigation for an ETF sponsor and registered investment advisor related to alleged kickbacks and gratuities paid to individuals on the firm’s institutional trading desk.
- Successfully represented a publicly held manufacturer and distributor of wood and wood products: Addressed product safety and disclosure issues in DOJ and SEC investigations.
Related News & Insights
-
Firm News
03/21/2024
Seyfarth Bolsters White-Collar and Investigations Capabilities with Addition of Partner Matthew Banham in London
-
Legal Update
02/08/2024
SDNY Breaks with Tradition in New Whistleblower Pilot Program
-
Media Mentions
12/15/2023
Arrival of Scott Morvillo, Ellen Murphy, Richard Morvillo, and Nicole Lloret at Seyfarth Featured in Seven Media Outlets
-
Firm News
12/11/2023
Seyfarth Expands Financial Services, Regulatory & White Collar Litigation Capabilities by Adding Four Lawyers in Litigation Team from Stroock
Recognition
-
Recognition
09/30/2022
Seyfarth Earns Top Rankings in Benchmark Litigation 2022
-
Recognition
09/22/2021
Seyfarth Earns Top Rankings in Benchmark Litigation 2021
-
Recognition
10/12/2020
Seyfarth Earns Top Rankings in Benchmark Litigation 2020
-
Recognition
05/30/2019
Seyfarth Earns Top Rankings in Legal 500 U.S. 2019