White Collar Defense & Government Investigations

HNRK’s White Collar Defense & Government Investigations Practice represents individuals and corporations facing a broad spectrum of complex government investigations, regulatory issues, civil and criminal litigation, including foreign criminal and tax investigations. Recent work includes defending RICO and civil securities fraud cases as well as criminal and regulatory matters involving the U.S. Department of Justice, Securities and Exchange Commission, and Financial Industry Regulatory Authority. 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 and most well-respected law firms in the United States.

HNRK has 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; and the Securities Exchange Act, Investment Company Act, Investment Advisers Act, and Foreign Corrupt Practices Act.

HNRK also has significant experience representing individual and corporate clients before various governmental entities, including state and federal grand juries, SEC, FINRA, 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.

Representative Matters

HNRK lawyers represent corporations and individuals facing a broad spectrum of complex government investigations, regulatory issues, and civil and criminal litigation. For example, we have represented:

• A major national insurance company in an internal investigation.
• A bank president in a DOJ criminal investigation.
• A hedge fund director, bank official, and the general counsel of a major university in various fraud, corruption, and money laundering investigations.
• The former CFO of a publicly-held company in a 10-week jury trial on criminal securities fraud charges in Manhattan Federal Court.
• An officer and head U.S. dollar swaps trader of a major international bank in investigations by the DOJ and the CFTC into the setting of LIBOR and ISDAFIX Rates.
• A former general counsel of a large U.S. mutual fund investment advisor in an inquiry by the SEC into a violation of the Investment Advisors Act of 1940.
• 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 U.S. asset management company in an investigation by the SEC into whether the method of obtaining funds from sovereign wealth and foreign pension fund clients violates U.S. laws and regulations under the FCPA.
• The audit committee of a publicly traded company in an SEC investigation concerning revenue recognition.
• A foreign official in a $4 billion matter involving claims of embezzlement and money laundering
• A former officer and director of a publicly-traded company in a securities fraud class action.