Governmental and Regulatory Investigations
We have broad experience representing individuals and entities before federal and state prosecutorial and regulatory agencies in connection with government investigations and enforcement actions. This practice group is headed up by our partner Ralph Siciliano who held senior posts with the Enforcement Division of the Securities and Exchange Commission before joining our firm, and advises our clients in regulatory matters. Among the types of issues the Governmental and Regulatory Investigations group has handled in recent years are:
- Insider Trading
- Sales of unregistered securities
- Regulation M
- Broker-dealer registration requirements
- Placement fees
- Defense of "Claw back" claims by bankruptcy trustees and offshore liquidators
- Short-swing profits under Securities Exchange Act of 1934
- Defense of officers and directors against claims arising out of restatements of public company financial statements
Our firm represents investment advisers, hedge funds, broker-dealers, and officers and directors of private and public companies before the SEC, the U.S. Department of Justice, the Financial Industry Regulatory Authority, and the Office of the Attorney General of the State of New York. We also represent commodity trading advisers and commodity pool operators in investigations conducted by the Commodity Futures Trading Commission. We advise Audit Committees and Special Committees of Boards of Directors in connection with internal investigations, change of control transactions, and other matters. We also represent parties in connection with governmental investigations involving the insurance and real estate industries.
We protect our clients' rights, and we do so efficiently. We are sensitive to our clients' resources and we manage them appropriately. We are familiar with the investigative process of governmental agencies and have the expertise to guide our clients, whether they are witnesses or targets of such investigations.