Criminal and Regulatory Enforcement
We handle criminal and regulatory matters and investigations for companies and individuals in federal and state courts and before federal and state administrative and regulatory agencies.
Our partners are veteran federal prosecutors and government regulators who collectively served for decades with the Department of Justice (DOJ) in Washington DC, the United States Attorney’s Offices in Miami and New York, and the Miami Regional Office of the Securities and Exchange Commission (SEC). In those capacities, we have handled and supervised some of the most complex and sensitive cases brought by those offices and have tried or supervised more than one (100) hundred cases between us.
Consequently, we are uniquely positioned to assist our clients with a wide array of issues, including securities fraud, health care fraud, mortgage fraud, accounting fraud, bank fraud, tax fraud, U.S. Foreign Corrupt Practice Act (FCPA) violations, money laundering, environmental crimes, national security, arms export control and other customs violations, and public corruption, to name a few. We also have significant experience dealing with parallel investigations—those brought by more than one criminal or regulatory agency arising from the same conduct—including those brought by DOJ, SEC, Commodity Futures Trading Commission (CFTC), Department of Treasury’s Financial Crimes Enforcement Network (FinCen) and Office of Foreign Asset Control (OFAC), and state criminal and regulatory agencies.
For clients facing securities regulation and enforcement matters, we represent clients at every stage of an enforcement proceeding, from the initiation of a formal investigation, where clients need assistance responding to an administrative subpoena for documents or a request for sworn testimony, through the Wells process and through litigation and appeal. In criminal matters, we represent and counsel clients both before formal charges are filed, during the grand jury process and the issuance of target letters, and after charges are filed through plea bargaining, trial and appeal. Timing in this area is paramount. Our decades of experience allow us to jump into any stage of a criminal or enforcement matter, plan an effective strategy and achieve excellent outcomes for our clients. Criminal and regulatory enforcement matters are extremely fluid situations, so the earlier we can roll up our sleeves and get to work, the better outcomes we achieve for our clients.