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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.

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