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Government Investigation: White-Collar Defense and Investigations

Government Investigation: White-Collar Defense and Investigations

If you suspect that you or your business may be the subject of a criminal investigation or regulatory enforcement action, it is imperative to be proactive. Consulting with experienced government investigation attorneys as soon as possible, and certainly before meeting with state or federal law enforcement agents, is often the best way to limit your potential liability. 

Scarinci Hollenbeck’s skilled white-collar criminal defense attorneys have successfully defended businesses, individuals, and corporate executives facing criminal allegations by various agencies, including the U.S. Attorneys’ Offices, the U.S. Department of Justice, and state prosecutors. With our extensive experience in government investigations, regulatory enforcement, and court proceedings, we are committed to protecting your rights and achieving the best possible outcome.

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Government Investigation: White-Collar Defense and Investigations

White Collar Defense

White-collar crime cases usually involve alleged deception to procure financial gain. White collar charges include but are not limited to, the following transgressions: fraud, money laundering, insider trading, market manipulation, obstruction of justice, false statements to government agents, kickbacks, bribery, embezzlement, and antitrust violations.

If you have been accused of white-collar crimes, you could be facing significant jail time as well as financial penalties. White-collar crime punishment and jail sentences can vary widely, depending upon the severity of the crime as well as the defendant’s circumstances and criminal history. 

Scarinci Hollenbeck’s expansive white-collar criminal defense services run the gamut of state and federal charges. Our core areas of representation include:

  • Antitrust violations
  • Bank fraud
  • Bitcoin and cryptocurrency matters
  • Environmental crimes
  • Export controls and sanctions
  • False Claim Act (FCA) violations
  • Foreign Corrupt Practices Act (FCPA) violations
  • Insider trading
  • Life sciences and healthcare fraud
  • Money laundering and economic sanctions
  • Obstruction of justice charges
  • Perjury and false statements
  • Public corruption
  • Securities and commodities fraud
  • Trade secrets and economic espionage
  • Tax offenses
  • Wire fraud

High-Stakes Matters Requires an Experienced White Collar Crime Lawyer

To safeguard your rights and your reputation, Scarinci Hollenbeck offers an impressive roster of white-collar crime lawyers who are experienced in all phases of criminal matters, including trials and appeals. Our team has successfully represented companies of all sizes as well as individuals and corporate executives accused of financial or other crimes by agencies including U.S. Attorneys’ Offices, the U.S. Department of Justice (DOJ), the SEC, the CFTC, the FDIC, the Office of the Comptroller of the Currency, U.S. Treasury’s Office of Inspector General (OIG), the Department of Health and Human Services, and state prosecutors. Since white-collar investigations can also result in significant reputational harm, our team includes attorneys skilled in crisis response and risk management.

Governmental Investigations and Regulatory Enforcement

Even the most sophisticated, well-intentioned businesses can face allegations of regulatory violations. If you have received a letter, notice, or subpoena from U.S. attorneys’ offices, state attorneys general, the DOJ, SEC, CFTC, FINRA, NFA, OFAC, FinCEN, IRS, or federal and state banking regulators regarding an investigation into you or your company, you must hire an experienced government investigation attorney to prepare a narrative that seeks to clear and absolve you from any alleged crimes, regulatory issues, or securities violations.

Failure to comply with SEC, FINRA, or other federal or state regulations can result in one or more of the following: an enforcement action, a bar from the industry, civil fines, or forfeiture. If you or your firm becomes the subject of an investigation or regulatory enforcement action, you may be asked for a proffer session or on-the-record (OTR) testimony. It is imperative to approach this interview or testimony with a sound legal strategy. How you present your information at this interview or testimony can make the difference between no further action being taken against you or your firm, or the investigation escalating into a criminal indictment or enforcement proceeding.

Scarinci Hollenbeck regularly represents individuals, executives, and companies facing investigations and informal proceedings before regulatory agencies and self-regulatory organizations. We have successfully represented clients in all aspects of regulatory defense, including informal discussions, on-the-record interviews, responding to subpoenas, producing documents in response to requests, responding to Wells Notices, negotiating settlements, and defending enforcement actions before administrative law judges, commissions, and federal and state courts. 

The government investigation attorneys of Scarinci Hollenbeck are respected for their ability to handle a wide range of government litigation. Our key services include:

  • Reviews and appeals of regulatory decisions at federal, state, and local levels
  • Securities enforcement actions before financial regulators, such as the SEC, CFTC, and FINRA
  • Crypto asset and cyber compliance
  • Data privacy and data security enforcement actions
  • Environmental investigations and enforcement 
  • Healthcare enforcement actions
  • Tax investigations by the IRS, state, and local tax agencies
  • Whistleblower actions
  • Litigation of complex regulatory disputes, including parallel civil and criminal proceedings
  • Employment complaints and enforcement actions

Scarinci Hollenbeck also advises public and private companies ranging from Fortune 500 corporations to startups about internal investigations. Companies and their boards rely on our experienced guidance to conduct internal investigations related to allegations of financial irregularities, security breaches, whistleblowers, market abuse, and other alleged misconduct. To help reduce any potential liability, we help clients establish clear protocols, determine their potential exposure, analyze the need for disclosure to regulators, and minimize the legal and reputational repercussions.  

Clients Benefit from Our Deep Roster of Government Investigation Attorneys

Scarinci Hollenbeck’s regulatory enforcement attorneys work closely with colleagues across our firm’s numerous practice areas to develop the most effective strategies and defenses possible. We also partner closely with our clients to develop strategic plans that will meet their goals efficiently and work tirelessly to implement those plans. Close coordination with clients minimizes the anxiety intrinsic to litigation, investigations, regulatory disputes, and remediation of compliance issues. 

While our primary goal is always to resolve issues quickly with no charges or enforcement actions filed, our team’s seasoned litigators are always prepared to aggressively defend our clients in administrative, civil, and criminal proceedings. Our depth of experience also allows us to seamlessly handle parallel proceedings in courtrooms near and far. 

 

One of the hallmarks of Scarinci Hollenbeck’s White Collar Defense and Internal Investigations Practice is our interdisciplinary approach to solving our clients’ most sensitive and high-risk problems. In seeking to resolve or mitigate the impact of government investigations and enforcement actions, our enforcement attorneys often collaborate with subject matter experts across the firm, including attorneys from our environmental, labor, employment, corporate governance, and securities practice groups.

With experience that rivals some of the region’s largest firms, we are also equipped to take on our client’s most complex and sensitive challenges. The firm’s white-collar defense and investigations team is highly experienced in representing high-profile clients, firms, and private individuals. We have successfully represented clients ranging from the President of Guatemala to billion-dollar private equity firms to members of Lance Armstrong’s cycling team. Our attorneys’ extensive experience gives them the resources to provide you with world-class service, and they will fight ferociously to ensure your narrative is properly represented to the government with the goal of a best-case scenario outcome.

To learn more, schedule a free, confidential consultation with our seasoned government investigation attorneys today. 

FAQ about Government Investigation: White-Collar Defense and Investigations

Yes, you can be personally charged if you participated in illegal activity within the company.

The best way to protect yourself and your company during a federal or state white-collar criminal investigation is to hire experienced white-collar defense counsel. It is also critical to send out a “hold notice” to employees, advising them not to destroy any documents relevant to the investigation. It may also be advisable to conduct an internal investigation concerning the relevant issues.

White-collar crimes are prosecuted by government attorneys, known as prosecutors

White-collar crimes are investigated by government agencies such as the U.S. Department of Justice, the U.S. Attorneys’ Offices, the FBI, the IRS, and the U.S. Postal Inspection Service.

“White collar” crime refers to a broad range of non-violent, criminal, often financially related, offenses that are investigated by prosecutors and government agencies. Some common types of white-collar crime include securities and bank fraud, healthcare, money laundering, embezzlement, insider trading, and obstruction of justice.

Punishments for a white-collar crime vary depending on the case, the judge, and your attorney. However, some of the most common punishments include:

  • Prison
  • Probation
  • House arrest
  • Fines

The experienced white-collar defense attorneys at Scarinci Hollenbeck work extremely hard to provide you with the best possible outcome.

White-collar crime can result in criminal prosecutions, not civil actions.

A grand jury subpoena is a tool used by the government to obtain testimony and/or documents during the investigation of potential criminal conduct. If you have received a grand jury subpoena, it is important to exercise caution and take immediate action to protect yourself. To avoid appearing before a grand jury, it is often advisable to provide a voluntary “proffer” interview to the government. Contact our office to connect with one of our experienced white-collar criminal defense attorneys who can advise you about your options through this complex process.

Insider trading is illegal and involves the buying or selling of a company’s publicly traded stocks or securities based on material information about a company that is non-public, or known only by “insiders.” Such trading gives the insider an unfair advantage and the ability to obtain significant profits over other investors who do not have access to the same information.

If convicted, insider trading can result in civil or criminal charges from the federal government as well as the state government. Insider trading penalties can include prison sentences of up to 20 years, multi-million-dollar fines, and sanctions. Often, publicly traded companies have an insider trading policy that applies to employees at all levels as well as consultants, vendors, and other partners to prevent the sharing of non-public information.

If you have been accused of insider trading, call an experienced white-collar crime lawyer today to help you protect yourself, your business, and your future. A member of our team of experienced insider trading attorneys may be able to help you get your charges reduced or dropped. Call us today for a free consultation.

According to the U.S. Treasury Department, money laundering is the process of causing illegally obtained proceeds (i.e., “dirty money”) to appear legal (“clean”). Money laundering is a serious crime and is usually considered a felony. If convicted, you could face high fines and a long prison sentence, and you’ll need a money laundering attorney in your corner.

If you have been accused of money laundering, act now and contact our experienced money laundering defense lawyers at Scarinci Hollenbeck to represent you.

A downward departure occurs when a judge imposes on the defendant a lower sentence than what is suggested by the federal sentencing guidelines. For example, one common way in which a downward departure may be granted is if the defendant is cooperating with the government and providing assistance to law enforcement as part of the criminal investigation. Scarinci Hollenbeck’s white-collar crime lawyers have handled a wide variety of white-collar cases for our clients and can seek to have the prosecutors file a 5k Motion with the court to seek a downward departure. The result will depend upon the circumstances of your case.

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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.

Practice Area Attorneys

Attorneys

Attorney, Christopher D. Warren

Christopher D. Warren

NYC Managing Partner

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, 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