Criminal & regulatory defense
We defend individuals, employees, partnerships and companies against state and federal criminal prosecutions, in internal investigations, and in regulatory actions.
Federal Criminal and Civil DOJ Matters
We defend federal prosecutions, and civil actions brought by the Department of Justice. Representative cases include:
Trial defense of an attorney charged in the Southern District of New York with fraud relating to the failed sale of Maxim magazine.
Defense of the family of the former president of Taiwan in civil in rem forfeiture actions brought by the DOJ against properties in the United States relating to bribery allegations.
Defense of Chris “Jesus” Ferguson in civil forfeiture allegations brought by the DOJ in connection with the operation of Full Tilt Poker.
Representation of an individual defendant in the Galleon insider trading case.
Regulatory Investigations, compliance and Cases
We advise clients on regulatory compliance, and defend against regulatory investigations brought by the federal government, state agencies, and self-regulatory organizations including FINRA and the NYSE. Representative matters include:
The complete exoneration of a prominent financial advisor against all charges brought by the SEC following a multi-year investigation, a month long federal jury trial and all appeals.
Successful defense of an individual charged in the Southern District of New York with fraud by the Federal Trade Commission.
On-going representation of the head of the New York office of an international brokerage firm charged with violations of the Investment Advisors Act in the SDNY.
Advice regarding whether the manner in which certain transactions are structured would require our client to register as a broker-dealer or an investment advisor.
We frequently represent individuals and companies in internal investigations. When representing an individual employee or partner, we prepare our client to meet with company counsel or investigators, with the goal of protecting our client's career and reputation while being cooperative and maintaining a good relationship with the company. When representing companies, we conduct investigations efficiently, with an eye on the law and the business goals, and with no pre-determined outcome.
state court criminal
Our state court practice, led by Andrew St. Laurent, handles the full range of state court criminal cases from financial fraud and major felonies to driving while intoxicated and drug possession. Mr. St. Laurent has represented hundreds of individuals charged with New York state felonies and misdemeanors during his career. In addition to numerous successful pre-trial resolutions, he has won full acquittals at trial for clients charged with larceny, fraud, driving while intoxicated, and other major felonies. Mr. St. Laurent and his team handle these matters discreetly, professionally, and with excellent results. Recent representations include:
Defense of fraud charges brought by the New York State Comptroller and Bronx County District Attorney’s Office against a child healthcare company.
Marijuana possession defense.