Scarinci Hollenbeck, LLC

Corporate Compliance

Corporate Compliance

The attorneys in the Corporate Compliance Practice Group provide clients with practical, time-sensitive advice and deliver pro-active solutions on a wide range of legal, compliance and regulatory issues.

Key Contacts

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* The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

Our Approach

This group maintains relationships with regulators and assures current knowledge relating to legislative, judicial, and regulatory developments involving Federal, State, SRO and local matters.

We provide practical, time-sensitive advice and deliver pro-active solutions on wide range of legal, compliance and regulatory issues, including:

  • Anti-money laundering, Bank Secrecy Act, SARBOX, and foreign corrupt practices act.
  • Civil and criminal enforcement defense
  • Regulatory examinations, document production, investigations and defense of enforcement proceedings, including Wells submissions, and sanction negotiations
  • Broker-dealer and Investment Advisor compliance and regulatory matters
  • Review and revise existing policies/procedures to meet developing legislative and regulatory requirements; governance and risk assessments.

Lawyers in this group previously held senior level positions in federal and state regulatory authorities, law departments of major corporations and financial institutions.

We represent a wide spectrum of public and private companies and individuals in the defense of compliance/regulatory investigations and enforcement proceedings. Matters include leading internal company investigations, reviews of governance policies and procedures, and defending administrative proceedings, civil and criminal actions.

Our lawyers have extensive knowledge of U.S. Federal state and local regulations, with multijurisdictional capabilities. We utilize a “project management” approach to staffing client assignments that coordinate the expertise of different practice group members. Critical defense advice and options are offered at every stage of investigation or proceeding, including negotiation of resolutions on the best terms for our clients. We also have a record of success when matters are litigated to conclusion. Our team of lawyers are committed to the highest quality advocacy on behalf of client. We are effective in implementing corporate strategies with our clients to assure current and future legal and regulatory compliance.

Regulatory & Compliance Focus Areas Include:

  • Corporate Governance and Compliance
  • Cyber security, privacy and breach responsiveness
  • Federal/state administrative and regulatory law involving SEC, CFTC, FINRA, SRO’s, state insurance and securities bureaus/divisions.
  • Financial Institution Compliance and Regulation
  • Criminal and White-Collar Defense in grand jury matters, parallel civil and criminal proceedings and counseling on voluntary disclosures and Special Investigations
  • Internal Investigations for Public and Private Companies


Different kinds of legal matters require attention from specialized areas of law. You can discover the firm`s practice groups or click here.or if you have no idea where to begin, call 201-806-3364, email or click here.

    The firm`s core practices include:

In addition, Scarinci Hollenbeck, LLC offers a variety of niche, sub-practice groups you can learn more about here.

The firm has several office locations includingLittle Falls, NJRed Bank, NJNew York, NYWashington, D.C.

It depends on the nature of the matter. Scarinci Hollenbeck, LLC represents clients around the world. We service our clients in a large variety of matters. In areas such as Intellectual Property, including trademark, copyright, or patent-related matters, we can service these requests regardless of where our clients are based. However, we predominantly handle legal matters whose jurisdiction is New Jersey, New York, the tri-state metropolitan area, and Washington, D.C. We also have attorneys who are licensed to practice in Connecticut, Florida, Massachusetts, Pennsylvania, and other states. We recommend calling one of our dedicated staff members who can help identify if we have an attorney at the firm that can assist you. Feel free to reach out to us at 201-806-3364.

Scarinci Hollenbeck, LLC routinely serves business owners, corporate entities, leaders, and operators of small businesses and Fortune 500 companies alike.

We are a general practice law firm that services businesses, corporations, and entities. We typically only represent people who own and operate these organizations. However, you are free to call our business development group at 201-806-3364 or email us at A member of our group can direct you to an attorney in our firm that may be able to assist.


Let's get in touch

Form instructions (Please feel free to contact us with any question.)

* The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

Why Choose Us?

Dedicated attorneys

When your livelihood is on the line, having an SEC investigations attorney well-versed in securities law and the ever evolving regulatory landscape is paramount. At Scarinci Hollenbeck, LLC, our dedicated attorneys boast multiple decades of extensive experience handling cases tied to securities investigations.

Dedicated attorneys

We offer strategic

We offer strategic legal counsel that acknowledges the distinct challenges faced by officers, directors, and companies embroiled in SEC, DOJ, or AG investigations.

We offer strategic

Unwavering legal support

Whether you’re dealing with SEC compliance, DOJ inquiries, AG investigations, or related matters, you can count on our unwavering legal support to help you navigate the process and achieve the best possible outcome.

Unwavering legal support

Customer focus

Collaboratively, we work with you to grasp the unique intricacies of your circumstances, adapting our legal strategies to align with your goals.

Customer focus