We advise financial services companies, corporate clients, trading entities, and their executives and traders in connection with investigative, civil enforcement matters involving the SEC, CFTC, FINRA, FERC, MSRB, NFA, Public Company Accounting Oversight Board, securities and commodity exchanges, and other regulatory agencies. Leveraging the strength of our white collar practice, we also represent clients in investigations by other federal and state regulatory agencies, the Department of Justice, and state criminal authorities. We also advise clients in financial regulatory matters before state attorneys general offices, district attorneys' offices, and other state securities regulators.
Our experience includes representing clients in regulatory and criminal investigations involving allegations of market manipulation, price manipulation, solicitation fraud, spoofing, wash sales, and other types of market abuses, as well as alleged false statements, sales practices, large trader reporting, swap reporting, and futures position limit violations. Our team conducts comprehensive, efficient internal investigations in connection with enforcement work. We represent individuals and companies in the nation's highest-profile criminal prosecutions and investigations. We frequently represent financial institutions and operating companies and their officers and directors in connection with white-collar issues such as allegations of money laundering, lender liability for securities fraud, common-law fraud, Racketeer Influenced and Corrupt Organizations Act (RICO) claims, and Foreign Corrupt Practices Act (FCPA) violations. We also have an active practice defending cryptocurrency industry participants and crypto-asset issuers with respect to federal and state enforcement actions, and remediating prior token issuances and pre-sales.
- Representation of global financial institution in CFTC investigation of disruptive trading.
- Representation of major digital asset platform in CFTC investigation.
- Representation of global futures brokerage firms in investigation by CFTC and Chicago Mercantile Exchange concerning meeting net capital requirements.
- Representation of insurance company in SEC investigation of trading practices.
- Represented proprietary trading firm in parallel investigations of alleged market manipulation.
- Representation of financial institutions in investigations of swap reporting.
- Representation of many different energy traders and entities in CFTC, Federal Energy Regulatory Commission (FERC), and Department of Justice investigations of power, natural gas, crude oil, propane, heating oil, and gasoline trading activity.
- Representation of an institution in CFTC investigations of precious metals trading involving retail commodities transactions.
- Representation of many different traders and entities in CFTC investigations of cash market and derivatives trading in financial products, agricultural commodities, metals, and currencies.
- Representation of foreign commercial end-users in CFTC investigations of alleged cash market reporting violations.
- Representation of foreign traders in CFTC investigations of trading on US exchanges.
- Representation of clients in many different investigations conducted by the CME Group, the Intercontinental Exchange, the New York Mercantile Exchange, the Chicago Board Options Exchange, the National Futures Association, and other self-regulatory organizations and in proceedings before their business conduct committees and hearing panels.
- Representation of a foreign financial institution in an investigation relating to compliance with CFTC swap regulations.