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. Each member of our team has substantial experience representing corporations and senior executives in connection with a wide range of white collar matters, as well as parallel regulatory and civil litigation matters.

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 health care fraud. Our bench of litigators, which includes several former federal prosecutors in the Southern District of New York, 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. 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. We conduct internal investigations in high-profile matters in which our work may be kept confidential, as well as where the results of the investigation are expected to be widely disseminated and receive public scrutiny. Our competence, integrity, and reputation 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 (FCPA, UK Bribery Act)
  • False Claims Act and Qui Tam
  • Internal Investigations and Monitoring
  • Securities Enforcement and Regulation
  • White Collar Criminal Defense
Select Representations
  • More than 45 investment bank professional at 10 institutions involving parallel, cross-border criminal and civil enforcement investigations concerning LIBOR, FX, ISDAfix, and precious metals market manipulation before the US DOJ, SFO (UK), BaFin (Germany), and FINMA (Switzerland).
  • Four professionals at different hedge funds against threatened criminal insider trading charges by SDNY, which were never brought.
  • Several professionals of a UK fund management company in connection with a fraud investigation.
  • Chief Compliance Officer of broker-dealer in a US-Venezuela criminal FCPA investigation.
  • The former president of Lehman Brothers Holdings in multiple regulatory and ongoing civil litigation matters arising from the collapse of Lehman Brothers, including investigations by the DOJ, SEC, and New York State Attorney General.
  • Served as the DOJ-approved monitor overseeing the US Virgin Islands Police Department.
  • Japanese auto parts manufacturer in connection with a DOJ investigation and related class action litigation arising from the largest antitrust cartel investigation in US history.
  • Automobile company executive in connection with DOJ, SEC, and congressional investigations, as well as multidistrict private litigation, relating to the recall of defective vehicle ignition switches.
  • Former Citi director in connection with an SEC investigation into potential violations of federal securities laws related to a foreign exchange trading strategy marketed to high net worth individuals.
  • Former President and CEO of Fannie Mae in connection with SEC and Office of Federal Housing Enterprise Oversight investigations and parallel civil litigation.
  • An industrial company in connection with an investigation by the DOJ's Antitrust Division arising from a whistleblower complaint regarding alleged collusive market practices in the US and Canada.
  • An industry trade organization in connection with a high-profile investigation by New York's Moreland Commission to Investigate Public Corruption.
  • International accounting firm in connection with an investigation concerning the alleged use of bribery and kickbacks in securing valuable mining concessions from an African government agency.
  • US industrial supply corporation in connection with an internal investigation regarding whistleblower FCPA allegations concerning the company's China, France, Belgium, German, Netherlands, Singapore, and Latin America operations.
  • Managing director of an investment bank in connection with parallel DOJ, SEC and FINRA investigations relating to alleged fraudulent trading practices in the RMBS market.
  • A real estate developer in connection with an SEC investigation concerning foreign investment and EB-5 projects.

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