No person or business wants to be the target of a government investigation or prosecution, or even on the receiving end of a subpoena. When such instances arise, our clients trust us to provide the skilled counsel and strategic advice to protect them both civilly and criminally. We have represented clients in investigations and prosecution actions by a number of different government agencies, including the SEC, CFTC, FTC, IRS, and DOJ. The firm has also worked with clients to provide Foreign Corrupt Practices Act (FCPA) policies and enforcement defenses.
- Representing Ingram Micro in multi-district securities, fraud and bankruptcy proceedings arising from 2005 collapse of Refco, Inc.
- Managed and favorably settled SEC enforcement proceeding of alleged wrongful accounting based on product distribution and returns
- Represented telemarketing business in FTC investigation, receivership and shut-down proceedings
- Responded to SEC and CFTC investigatory subpoenas of client’s relationship with failed brokerage firm
- Responded to California Department of Corporations subpoena concerning client’s transactions with manufacturing partner