White Collar Defense & Government Investigations

Hoguet Newman Regal & Kenney’s White Collar Defense & Government Investigations Practice represents individuals and corporations facing a broad spectrum of complex government investigations, regulatory issues, and civil and criminal litigation. Recent work includes defending RICO and civil securities fraud cases as well as criminal and regulatory matters involving the U.S. Department of Justice, the Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA). The practice is led by attorneys with significant prosecution and defense expertise as former federal prosecutors with the U.S. Attorney’s Office for the Eastern and Southern Districts of New York and as litigators with some of the largest law firms in the United States.

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Practice leaders have experience in sophisticated and often high profile civil and criminal investigations, trials, and appeals. Among the successes secured on behalf of clients include favorable outcomes in cases involving:

  • Internal corporate investigations of alleged securities fraud;
  • Government investigations of alleged corporate wrongdoing;
  • The Securities Exchange Act, the Investment Company Act, and the Investment Advisers Act; and
  • The Foreign Corrupt Practices Act.

Hoguet Newman Regal & Kenney also has significant experience representing individual and corporate clients before various governmental entities, including:

  • State and Federal Grand Juries;
  • State and Federal Grand Juries;
  • The Securities and Exchange Commission;
  • The Financial Industry Regulatory Authority;
  • U.S. Senate and House Committee Hearings;
  • The Office of the Attorney General of the State of New York; and the
  • New York Stock Exchange.
Litigation is global…

And so is Hoguet Newman Regal & Kenney’s White Collar Defense & Internal Investigations practice. The firm represents clients in foreign criminal and tax investigations, and in connection with requests for information sharing and extraditions between foreign governments and the United States.

Representative current or recent matters handled by Hoguet Newman Regal & Kenney include:
  • The former Chief Financial Officer of a publicly-held company in a ten-week jury trial on criminal securities fraud charges in the Federal Court in Manhattan.
  • An officer and head U.S. dollar swaps trader of a major international bank in investigations by the Department of Justice and the Commodities Futures Trading Commission into the setting of LIBOR and ISDAFIX Rates.
  • The head energy trader of a major international bank in a FINRA disciplinary proceeding concerning alleged insider trading.
  • An executive at an asset management company in an SEC investigation related to potential Advisers Act violations.
  • A major US asset management company in an investigation by the SEC into whether the method of obtaining funds from sovereign wealth fund and foreign pension fund clients violates US laws and regulations under the Foreign Corrupt Practices Act.
  • Several companies in connection with government investigations under the Foreign Corrupt Practices Act.

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