White Collar Defense, Regulatory Enforcement & Investigations

White Collar Defense, Regulatory Enforcement & Investigations

Fried Frank's White Collar Defense, Regulatory Enforcement & Investigations Practice is comprised of former federal prosecutors and seasoned white collar lawyers in New York, Washington, and London. Each partner in our group has substantial experience representing corporations and senior executives in connection with a wide range of white collar matters, as well as in parallel regulatory and civil litigation matters. Our practice is ranked among the best in the country by Chambers USA and Legal 500, and our partners are consistently recognized for their work in the white collar, enforcement, and investigations spaces.
 
We have an international reputation for success in defending corporations and individuals under investigation for alleged securities, commodities, and other financial frauds, insider trading, market manipulation, anti-corruption violations, money laundering, RICO violations, and procurement and healthcare fraud. Our deep bench of litigators, which includes multiple former federal prosecutors, has extensive trial and appellate experience, having tried dozens of federal criminal cases to verdict and argued numerous criminal appeals before state and federal appellate courts, as both prosecutors and defense counsel. 
 
We regularly conduct internal investigations in high-profile matters in which our work is kept confidential, as well as in matters where the results of the investigation are expected to be widely disseminated and receive public scrutiny. Our competence, integrity, and reputation for forceful and principled advocacy have been central to maintaining or restoring to our clients the confidence of both the public and regulators. In many instances, we and our clients define success by the representations that never become a matter of public record.

Our Capabilities
  • Anti-Corruption Compliance and Enforcement. We advise corporations, boards of directors, and other private sector entities in connection with a range of international compliance and enforcement matters, often providing counsel under circumstances that require the greatest discretion. We are highly experienced in handling the most complex matters involving the Foreign Corrupt Practices Act (FCPA) and other international anti-corruption laws. Our practice was awarded a Distinguished Service Award in the “Excellence in Business Judgment” category at Main Justice's “Best FCPA Lawyers” Client Service Awards, which highlight the achievements of law firms and law firm practitioners who demonstrate exceptional service in representing companies and executives in FCPA and global anti-corruption matters.

  • Internal Investigations and Monitoring. We are regularly called upon to conduct internal investigations on behalf of corporations and their boards of directors, as well as for other private and public sector entities that address allegations of fraud, MeToo matters, and other forms of serious misconduct. We possess the necessary experience and combination of skills to develop the facts in sensitive environments, and we have conducted investigations in a variety of industries covering diverse subject matters, including pharmaceuticals, healthcare, accounting, securities, financial services, data security, and forensic science.Two of our partners recently served as the Independent Monitors for the US Virgin Islands Police Department, following selection by the Department of Justice.

  • Securities Enforcement and Regulation. Our practice has been named one of the nation's leading SEC enforcement practices for the last two decades, and is driven by cutting-edge developments in the financial and commercial markets. We serve public companies and their directors, officers, and employees, as well as broker-dealers, investment advisers, hedge funds, accounting and legal professionals, and other participants in the securities markets. We represent companies and individuals in connection with government investigations involving securities and corporate law disputes. We also counsel public companies and regulated entities on complex securities laws and other regulatory issues, and help clients assess and develop compliance programs to guard against future violations of law and corporate policy. We strive to provide practical advice that will be useful in guiding our clients through challenging and uncertain circumstances. Our team was awarded “Litigator of the Week” in 2017 by The American Lawyer for its successful defense in a high-profile case brought by the SEC against the head of regulatory reporting at an investment bank.

  • White Collar Criminal Defense. Our White Collar Criminal Defense team has developed a national reputation for success in handling the defense of corporations and individuals under criminal investigation. We regularly defend clients facing investigations by the US Department of Justice, US Attorneys' Offices, District Attorneys' Offices, the Department of Health and Human Services, the Office of the Inspector General, and other federal and state regulatory and international law enforcement agencies, including most recently before the SFO UK, BaFin (Germany), and FINMA. We have handled groundbreaking white collar cases and have been successful in obtaining favorable results in matters that will never become a matter of public record. Our partners recently represented clients in two criminal securities fraud trials in the US District Court for the Southern District of New York, securing mistrials after the court declared hung juries.

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