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In today's climate of heightened scrutiny of the financial sector, securities issuers, and other investment industry participants, companies and executive leadership require more proactive counseling and compliance planning than ever before. Our team is highly experienced in navigating the complicated web of regulatory and compliance schemes to minimize the risks of transacting business while meeting the company's goals. And, if despite best efforts, these agencies take action, our lawyers are there to help guide an appropriate and measured response.

We have extensive experience in dealing with the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodities Futures Trading Commission (CFTC), the Department of Justice (DOJ), and other agencies. We regularly represent corporations and individuals being investigated or who have been charged in connection with fraudulent schemes related to financial institutions and investments, including Ponzi schemes, accounting fraud, mortgage fraud, and many other issues. We have represented clients in all phases of investigations, including internal investigations, DOJ investigations, resolution, and trial. 

Representative Engagements

  • Represented the CFO of a private company in a seven-week trial alleging participation in a fraudulent financing scheme, resulting in a mistrial and a complete dismissal for our client
  • Represented a well-known broker-dealer as lead counsel in FINRA enforcement investigation regarding allegations of trading unregistered securities without appropriate money-laundering detection capabilities in place. Negotiated a favorable settlement with FINRA.
  • Represented an energy trader facing prosecution for conspiracy to violate the Commodities Exchange Act, resulting in dismissal of the indictment and a guilty plea to a single false statements charge with no loss of liberty or interruption in employment for the client
  • Represented an executive in connection with an industry-wide investigation by the DOJ and the SEC into alleged misconduct in the municipal bond industry, including charges of price-fixing, bid rigging, wire fraud, and false statements
  • Represent a former employee of an investment firm in connection with a criminal investigation into a Ponzi scheme
  • Represent a pool of current and former employees of a large investment bank in connection with multiple state and federal regulatory investigations with regard to residential mortgage-backed securities
  • Served as an independent consultant under a settlement agreement between AIG and the government (DOJ and SEC), responsible for the review of major financial transactions entered into by AIG that raised concerns of accounting fraud or balance sheet manipulation

View More

A Babysitter And A Band-Aid Wrapper: Inside the Submarine Spy Case The New York Times (October 11, 2021)
Media Mentions
For The First Time In 232 Years, A Black Prosecutor Leads A Storied Office The New York Times (October 7, 2021)
Media Mentions
"Qatar and the United States Take Coordinated Action Against Terrorist Financiers," White Collar Alert (October 5, 2021). Contact: Michael J. Gunnison
Client Alert/Newsletter
Crowell & Moring Partner Rebecca Ricigliano On The Calm Before The Enforcement Storm Corporate Crime Reporter (October 4, 2021)
Media Mentions
Want To Develop A Risk-Management Framework For AI? Treat It Like A Human. (September 19, 2021). Authors: Michael K. Atkinson, and Rukiya Mohamed.
Publications
Crowell Adds White-Collar Abilities In Doha Commercial Dispute Resolution (September 14, 2021)
Media Mentions
The World Has Changed Since 9/11, And So Has America's Fight Against Terrorism NPR (September 9, 2021)
Media Mentions
Wake Up Call: Kirkland Said To Delay Opening By Two Months Bloomberg Law (September 8, 2021)
Media Mentions
"FinCEN and CFTC Announce $100 Million in Regulatory Settlements With Foreign Cryptocurrency Exchange for BSA Violations and Failures to Register," Financial Services Alert (August 25, 2021). Contacts: Carlton Greene, Caroline E. Brown, Anand Sithian, Nicole Sayegh Succar, Chris Murphy
Client Alert/Newsletter
Breon Peace Brings Defense Prowess To Top Role At EDNY Law360 (August 16, 2021)
Media Mentions

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Crowell & Moring LLP is an international law firm with offices in the United States, Europe, MENA, and Asia that represents clients in litigation and arbitration, regulatory and policy, and transactional and corporate matters. The firm is internationally recognized for its representation of Fortune 500 companies in high-stakes litigation and government-facing matters, as well as its ongoing commitment to pro bono service and diversity, equity, and inclusion.

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