Tannenbaum Helpern Syracuse & Hirschtritt, LLP
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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
  • Cross-trading
  • 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.

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Tannenbaum Helpern Syracuse & Hirschtritt LLP provides legal advice only to individuals or entities with which it has established an attorney-client relationship and such advice is based on the particular facts and circumstances of each matter. Contacting us through this site, or otherwise, will not establish an attorney-client relationship with us. Any e-mail or other communication sent to THSH or its lawyers through this site will not be treated as subject to the attorney-client privilege or as otherwise confidential and you should not include any confidential information in any such communication.