The Firm’s Regulatory Compliance Group is a unique interdisciplinary practice advising primarily smaller public issuers, broker dealers, investment funds and institutional investors on the challenges facing the small-cap and micro-cap segment of the market.  The practice focuses on regulatory compliance, white-collar criminal defense, government investigations, corporate internal investigations, and investigations and proceedings before administrative, legislative, and self-regulatory agencies.  The Group works closely with the Firm’s Special Investigations & Compliance Group and its Capital Markets practice areas to assure regulatory compliance, the foundation on which our clients operate.

Our success is predicated on our experience in conducting thorough and reliable internal investigations, using the investigative record effectively to persuade the government/enforcement agencies to decline prosecution or enforcement action against our clients where possible, and discreetly resolving government investigations on favorable terms for our clients. When these results are not possible, we use our extensive litigation and trial experience to defend our clients in court or the relevant agency forum.  Our practice preference is to begin from a proactive position: we prefer to schedule a compliance session(s) to review our client’s policies, practices, and procedures and to work with our clients to anticipate and avoid regulatory traps and surprises.  Similarly, with respect to our transactional practice, our special situations attorneys utilize our extensive regulatory and enforcement knowledge and experience to guide our clients throughout the entire transaction or process.

The Firm’s transactional attorneys are experienced in assisting clients in a wide range of matters including: the acquisition or sale of businesses; banking and secured lending transactions; workouts; capital markets; financial services; and international or cross-border transactions.  The Firm’s Capital Markets practice represents underwriters and issuers in public and private offerings of equity, equity-linked securities, and debt. We have particular experience in private investment in private offerings, initial public offerings, self-underwritings, registered direct offerings, and offerings of convertible and other hybrid securities. Our capabilities include the ability to represent clients large and small domestically or on cross-border matters. We represent many of the leading small to medium-sized investment banks, while maintaining a focus on our extensive base of corporate clients. Our lawyers regularly participate in transactions involving a wide variety of industries, including technology, manufacturing, media, telecommunications, energy/natural gas, biotech, and retail, as well as several other specialized financings. Significantly, we have experience in identifying emerging practice areas within the Capital Markets industry segment and counseling clients in understanding and navigating unchartered territories as they seek to advance their business, financial, and operational objectives.

Unlike other firms, our transactional attorneys routinely work with our enforcement attorneys to better understand the compliance dynamic, develop oversight standards, and receive needed input about the workings of the Justice Department, Securities and Exchange Commission, and federal banking regulators, among others. 

  • With our enforcement and subject matter attorneys routinely work together to advise and represent clients in internal investigations, grand jury investigations and trials involving allegations of securities fraud, bank fraud, insider trading, market manipulation, and other related violations.
  • Our experience in white-collar crime, complex civil litigation and regulatory enforcement makes us particularly suited to defending multifaceted cases involving parallel criminal, civil and regulatory actions arising out of the same events.
  • We regularly advise on the development and maintenance of compliance programs.
  • Additionally, we have experience in conducting investigations for large as well as small companies (public as well as private) and their boards into allegations of workplace harassment, as well as advising a variety of public and private clients on human resources best practices, including the implementation of policies relating to harassment, whistleblowers, employee relations, termination and conflict resolution.

Our practice is staffed by senior lawyers in New York, who provide experience and credibility with the federal and state governmental authorities across the country and around the world. Consistent with the firm’s client-centered approach, the team routinely draws upon the experience of many other partners, including transactional lawyers and commercial litigators as well as subject-matter experts who enable our team to understand the nuances associated with transactions and structures that are the subject of governmental scrutiny.

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