White Collar Defense & Investigations

Staying ahead of allegations of misconduct—including violations of the federal securities laws, Foreign Corrupt Practices Act (FCPA), Bribery Act, and other provisions covering fraud and abuse—is crucial to warding off civil and criminal liabilities, workplace disruptions, negative press, and potential follow-on legal actions. With stakes this high, companies and individuals must be proactive in both preventing misconduct and promptly responding to credible allegations of wrongdoing when they arise. Equally important, they must be prepared to defend themselves when the government comes knocking.

Cross-border Coverage. Our proactive approach is underscored by a distinguished team of former federal and state prosecutors in the US and UK and members of the SEC’s Division of Enforcement, and UK’s Financial Conduct Authority ensuring a level of insight crucial to navigating the intricacies of white collar matters and internal investigations.

HOW WE HELP

Our seasoned attorneys have extensive experience conducting internal investigations for companies and defending corporations and individuals in a broad swath of government and regulatory investigations. We regularly appear before the Department of Justice (DOJ), the United States Securities and Exchange Commission (SEC), the United States Commodity Futures Trading Commission (CFTC), the Serious Fraud Office (SFO), the Financial Conduct Authority (FCA), the Public Company Accounting Oversight Board (PCAOB), the States Attorneys General, and the Financial Industry Regulatory Authority (FINRA). We adeptly represent clients in investigations spanning the United States, United Kingdom, and global jurisdictions, conducting cross-border inquiries with precision and effectiveness.

Our clients include public and private companies, investment banking firms, banks, investment advisors, broker-dealers, hedge funds, private equity funds, accounting firms, law firms, and individuals who work for them.  We have handled internal, government, and regulatory investigations into securities, commodities, health care, manufacturing, government contracts, antitrust, bribery,  cryptocurrency, and workplace harassment and discrimination matters.

Drawing upon years of experience in white collar defense, securities litigation, corporate compliance, and fraud prevention, our team provides peace of mind through the deft handling of internal investigations and responding to inquiries from federal and state enforcement. We identify issues that need attention and remediate them in a manner that will satisfy regulators. We use our advocacy skills at every stage of an investigation to help frame the issues and to educate the regulators about our clients’ legal and factual defenses. We are often successful in dissuading the government from pursuing civil or criminal charges against our clients. When litigation cannot be prevented, we guide clients through settlement or trial, including in multimillion-dollar civil fraud actions and white collar criminal prosecutions. At every turn, we work to minimize liability and reputational damage. 

Companies and Individuals call us when they require solutions to intricate challenges, including:

Financial Services Investigations:

• Extensive experience concerning the financial sector.

• Handle complex issues including insider trading, securities trading, accounting and business fraud, FCPA, market abuse, and anti-money laundering compliance.

• Provide counsel for meticulous internal investigations related to alleged misconduct and remediating controls.

• Expertise in responding to whistleblowers and advising on self-reporting and regulatory notifications. 

• Compliance training and advice for regulated entities.

Government Enforcement Actions:

• Guide clients through civil and criminal investigations with a multidisciplinary team including former prosecutors and SEC attorneys.

• Skilled construction of legal and factual defenses.

• Strategically aim to minimize risk, from disclosure and accounting issues to internal control violations.

• When necessary, defend and litigate civil or criminal actions.

• Significant trial experience in complex cases.

THE SEYFARTH EXPERIENCE

Leveraging the firm's national and international resources, with a particular focus on the United Kingdom and Asia, our multidisciplinary teams seamlessly integrate the expertise of Seyfarth's corporate, securities litigation, labor and employment, trade secrets, false claims, and government contracts teams. This collaboration allows us to provide comprehensive and sophisticated guidance in government enforcement defense, internal investigations, and false claims litigation, all delivered with the utmost candor. Through our advanced delivery platform, our team conducts efficient internal investigations, minimizing potential liability, controlling costs, preserving the client's reputation, and minimizing workplace disruptions.