White-Collar Criminal and Government Enforcement Defense
In our white-collar criminal defense and government regulatory practice, some of our accomplishments include the following:
- Won an insider trading trial against the SEC on behalf of a former Wells Fargo trader.
- Won appeal of trial win in insider trading case in front of the Commission over the objections of the SEC Enforcement staff.
- Advise a former cryptocurrency exchange employee as part of an investigation by the U.S. Attorney’s Office for the Southern District of New York regarding alleged market manipulation of cryptocurrency exchanges.
- Obtained immunity on behalf of three current/former employees of a public company in connection with a prosecution by the U.S. Attorney’s Office in Boston in connection with an alleged bribery, conspiracy and wire-fraud scheme involving a proxy-solicitation firm.
- Obtained a sentence of probation with no prison term on behalf of a criminal defendant indicted by the U.S. Attorney’s Office for the Southern District of New York for allegedly operating an illegal gambling business, as part of a 30 plus defendant indictment involving racketeering charges, illegal gambling and money-laundering.
- Represented and advised cryptocurrency and blockchain technology companies in connection with initial coin offerings (ICO) and the SEC’s Division of Corporation Finance.
- Successfully defended graduate school professor in Title IX investigation involving allegations of sexual misconduct with students.
- Secured a sentence of probation with no prison term on behalf of a former manager of a public company in a high-profile insider trading prosecution by the U.S. Attorney’s Office for the Southern District of New York.
- Negotiated a misdemeanor plea with no prison term on behalf of the former Budget Director of the Town of East Hampton who was charged in a New York State indictment with securities fraud and mismanagement of the Town’s community preservation fund.
- Persuaded the U.S. Attorney’s Office for the Southern District of New York that no prosecution was warranted on behalf of an individual who was the subject of a federal criminal investigation into allegations of conspiracy with Marc Dreier to impersonate holders of fictitious securities.
- Secured immunity for the president of an environmental company in connection with a prosecution by the Antitrust Division of the U.S. Department of Justice.
- Persuaded the U.S. Attorney’s Office and the SEC not to charge a hedge fund employee in connection with an insider-trading internal investigation conducted by the fund.
- Negotiated a settlement on behalf of a not-for-profit CEO who was the target of an investigation by the Charities Bureau of the New York Attorney General’s Office.
- Persuaded the U.S. Attorney’s Office not to charge the director of billing for a large medical practice, who was the subject of a healthcare fraud investigation.
- Persuaded the SEC, pursuant to a successful “Wells” submission, not to charge a former board member of a public company in a fraudulent disclosure and stock manipulation case.
- Served as internal monitor on behalf of a multi-national fashion company for which we trained the Chief Financial Officer and other employees regarding compliance with tax rules in connection with certain cash sales.
- Persuaded FINRA to issue only a cautionary letter for allegedly submitting false business expense reimbursements.
- Obtained no action letter from FINRA following investigation into allegations of pre-arranged trades.
The law firm of Serpe Ryan LLP was obtained for me by my employer. From my first meeting to the last interview with the Government, it couldn't have gone better. Both Paul and Silvia were professional and knowledgeable; they prepared me for my meetings with such ease and expertise. They made a very unique experience as pleasant as possible.
Serpe Ryan is an excellent law firm with exceptional attorneys. I engaged them on a complex matter and they handled it successfully and efficiently. They are seasoned litigators with a broad range of expertise and I would not hesitate to work with them again.
Paul Ryan is an amazing lawyer. Beyond being knowledgeable, he's always available. He makes every effort to accommodate you as a priority, whether it's in the preparation process or beyond. Most importantly, Paul has a natural way of conveying trust that I rarely encountered before. Very early on, he gave me complete confidence that he was best suited to represent me. Paul is a gem, and I highly recommend him!
I met Silvia at the most difficult moment of my life - I was prosecuted by the federal government and the SEC for insider trading. Silvia and her partner Paul worked as a team to represent me for both criminal and civil cases with the SEC. They negotiated with the SEC to reduce the size of my fine. During sentencing, Silvia also helped me to negotiate better terms of my supervised release. I highly recommend Silvia and Paul, for their deep knowledge, compassion, dedication, and willingness to put extra effort to fight for their clients.
Ms. Serpe's high level of professionalism is exceeded by her keen and quick mind. She does not hesitate to tell you where you stand, patient in discussing the practical implications of the legalities swirling around you, and her sincerity shows in walking you through your options. I would not hesitate to recommend her for your needs and for you to follow her directions. The path she sets for you will help lead you out of whatever unfortunate circumstance you might find yourself.
I think Paul Ryan differentiates himself by being very focused and responsive. In each of my cases, he: (1) immediately worked to get up to speed and resolve the situation as quickly and efficiently as possible; and (2) always answered/returned my calls and emails promptly. I was happy with both the resolution process (time requirement and cost for me) and the resolution of each inquiry. In each of my cases, Paul facilitated a brief interaction with the SEC which resulted in them ending their inquiries without prosecution.
Serpe Ryan is the Go-To firm for top-shelf legal representation. Ms. Serpe is an excellent attorney and will represent your interests in the most proficient and professional way possible.
During a time in my life when it seemed as if the walls were closing in on me, Silvia Serpe and Paul Ryan settled me down and lifted me up and then skillfully guided me back to a better place. I cannot say enough about the professionalism and compassion these two amazing attorneys displayed in handling me, and my complex case.
I came to Serpe Ryan LLP regarding a legal dispute around a complex financial dispute and little hope of ever recovering what was owed to me. The team quickly came to understand the matter, the opposing party, and worked with me in a highly responsive manner to far exceed the outcome I had expected. Serpe Ryan LLP offers both the high talent of a white-shoe firm alongside the practicality and responsiveness that comes with working with a boutique practice.
I had the distinct pleasure and privilege to work with and learn from Silvia Serpe. Anytime I am involved in a complicated legal case I seek her guidance, which is indispensable to me and has allowed me to grow professionally.