The Securities Enforcement practice at Kostelanetz LLP provides strategic counsel and aggressive legal defense for clients facing regulatory scrutiny, government investigations, and enforcement actions from the Securities & Exchange Commission (SEC), FinCEN, the Department of Justice (DOJ), and other financial industry regulatory authorities. With deep experience handling complex financial and securities matters, our attorneys represent a broad array of clients, including high-net-worth investors, company executives, investment banks, hedge funds, private equity funds, broker-dealers, real estate investment trusts (REITs), law firms, accounting firms, blockchain companies, and other financial institutions and market participants in high-stakes enforcement and litigation.
Securities Enforcement Defense
Our team includes former regulators and enforcement officials with inside knowledge of government securities enforcement priorities, including a 10-year veteran of the SEC who served as the Enforcement Counsel to the then-SEC Chair and as an SEC Senior Trial Counsel in the Division of Enforcement. We also have several former Assistant United States Attorneys from the Southern District of New York, one of whom served as a Special Assistant Attorney General in the New York State Attorney General’s Office. Additionally, our attorneys have served at high levels in the DOJ’s Tax Division, and as state prosecutors in New York, Virginia, and Massachusetts. Our Director of Investigations was a career special agent and former Chief of the Internal Revenue Service’s (IRS) Criminal Investigation Division.
As a result, our attorneys have handled matters arising under the Securities Act of 1933 (“Securities Act”), the Securities Exchange Act of 1934 (“Exchange Act”), the Investment Advisers Act of 1940 (“Advisers Act”), and the Investment Company Act of 1940 (“Investment Company Act”).
Our firm and attorneys have been named leading practitioners in white-collar criminal defense by Chambers USA, Best Lawyers, and Super Lawyers.
Securities Fraud
We are well-versed in federal securities law and experienced in handling matters, both for the government and for companies, firms, and individuals involving allegations of insider trading, financial market manipulation, financial fraud, embezzlement, accounting fraud, investment fraud, offering fraud, mail fraud, bank fraud, and other potential violations of securities, banking, and tax laws. As a result, we have extensive experience in administrative proceedings, negotiating with government enforcement agencies, and defending clients in enforcement actions in administrative and federal courts.
Our attorneys are skilled in conducting internal and independent investigations for companies and entities facing internal complaints, whistleblower allegations, or securities enforcement investigations against them or their officers and employees. Our matters include conducting internal investigations for publicly traded companies, regulated entities, and governmental and quasi-governmental organizations.
Cryptocurrency and Digital Asset Regulation
As the digital asset landscape and regulatory environment evolves, we provide guidance on cryptocurrency and digital asset regulation, SEC investigations, IRS investigations, and compliance matters affecting blockchain and decentralized (DeFi) firms, digital asset trading platforms, and other fintech companies, among others. We represent clients in enforcement actions involving initial coin offerings (ICOs), DeFi platforms, and tokenized securities. Our attorneys have experience in cases involving allegations concerning token offerings, trading platforms and exchanges, crypto asset brokers and dealers, fraud, and money laundering.
Private Funds Investigations: Hedge Funds, Private Equity, Venture Capital & REITs
We represent financial institutions in SEC investigations and enforcement actions, including inquiries into compliance with the Investment Advisers Act, fiduciary obligations, marketing and client obligations, and trading practices. Our attorneys help clients navigate regulatory scrutiny, mitigate risks, and defend against allegations of misconduct.
Broker-Dealer Compliance & Defense
Our firm counsels broker-dealers on SEC enforcement matters, internal investigations, and compliance with securities laws. We defend clients in regulatory actions concerning sales practices, disclosure obligations, and customer relations.
Congressional Investigations into Securities Violations
We also advise clients on responding to congressional oversight investigations into financial and securities law matters. Our team has firsthand experience navigating complex congressional inquiries, preparing executives for testimony, and developing legal strategies that mitigate reputational and financial risks.
