Seward & Kissel attorneys have the experience, skills, and knowledge to effectively represent our clients when they are confronted with governmental investigations, regulatory enforcement and compliance matters, or in need of an internal investigation. Due to our extensive experience with governmental and regulatory agencies, our attorneys are positioned to provide practical guidance and real-world experience to our clients. Members of our practice include a former federal prosecutor for the Southern District of New York who served as the head of the United States Department of Justice’s Criminal Division, as well as a former supervisory federal prosecutor from the United States Attorney’s Office for the Eastern District of New York.
Our clients in the financial services industry include: investment advisers, investment funds, hedge funds, banks, investment banks and broker-dealers, professional bodies, governments and international organizations, as well as individuals. In light of the current and constantly changing regulatory and enforcement environment confronting the financial services industry, our clients rely on our depth of expertise to help them every step of the way, from investigation through trial, if necessary.
Our lawyers routinely defend our clients in a variety of proceedings including: grand jury investigations, regulatory probes, civil lawsuits, as well as federal and state criminal investigations and prosecutions. The matters under inquiry are varied and have addressed both corporate and individual liability in topics ranging from financial crimes, securities fraud, Foreign Corrupt Practices Act violations, False Claims Act and Anti-Kickback Act violations, pension fund fraud, fraudulent billing practices, and health care fraud to public corruption offenses, federal campaign finance law violations, tax fraud, money laundering, racketeering, and environmental crimes.
Our representation spans local, regional, national, and international forums. Oftentimes, the criminal investigations run parallel with civil litigations and/or regulatory investigations. We defend our clients in civil and administrative litigations instituted by private entities and/or the government resulting from criminal investigations. Such representation includes defense of civil fraud suits, securities violations suits, and suspension and debarment proceedings.
We work with clients in creating comprehensive compliance and auditing programs, covering a broad array of topics such as FCPA, cybersecurity, insider trading, OSHA, and Environmental issues. Such programs help clients comply with regulatory requirements and can mitigate the consequences of violations of law.