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Regulatory Investigations & White-Collar Criminal Defense

Our firm has built a sought-after white-collar criminal, regulatory and internal investigative services practice. Our collection of talent gives our clients access to leading lawyers with valuable inside-out knowledge and experience in white-collar and investigatory matters.

The group’s broad investigative, trial and appellate experience provides early resolution of potential criminal problems; the ability to deal directly with regulatory and government agencies to avoid the harmful consequences of government action, where possible; and, if necessary, the ability to successfully defend companies or their management at trial.
We defend clients in investigations and enforcement actions brought by regulatory bodies across the country, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Department of Labor, the New York Stock Exchange, the American Stock Exchange, the National Futures Association, the Commodity Futures Trading Commission, the Chicago Board of Options Exchange, the Chicago Mercantile Exchange and the Chicago Board of Trade.

We develop coordinated, effective strategies to counter the full spectrum of alleged regulatory violations, involving:

  • Improper sales practices
  • Insider trading
  • Failure to supervise
  • Corporate disclosure
  • Trade allocations
  • Registration issues
  • Market timing issues
  • Free riding and withholding
  • Trade execution
  • Floor trading practices
  • Underwriting practices
  • Market manipulation
  • Advertising violations
  • White-collar crimes

Our attorneys advise clients at every step in the regulatory and disciplinary process, including preliminary investigations, responding to subpoenas for testimony and documentation, and during formal proceedings and trial.

The white-collar practice also has significant criminal and civil trial experience, ensuring that the services provided by the group are designed to reduce or eliminate trial exposure. We are also adept in responding to grand jury proceedings and defending clients in regulatory proceedings or criminal trials.

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