White-Collar Criminal and Government Enforcement Defense
In our white-collar criminal defense and government regulatory practice, some of our accomplishments include the following:
- Won an insider trading trial against the SEC on behalf of a former Wells Fargo trader.
- Won appeal of trial win in insider trading case in front of the Commission over the objections of the SEC Enforcement staff.
- Prepared a former cryptocurrency exchange employee for an interview by the U.S. Attorney’s Office for the Southern District of New York regarding alleged market manipulation of cryptocurrency exchanges.
- Obtained immunity on behalf of three current/former employees of a public company in connection with a prosecution by the U.S. Attorney’s Office in Boston in connection with an alleged bribery, conspiracy and wire-fraud scheme involving a proxy-solicitation firm.
- Obtained a sentence of probation with no prison term on behalf of a criminal defendant indicted by the U.S. Attorney’s Office for the Southern District of New York for allegedly operating an illegal gambling business, as part of a 30 plus defendant indictment involving racketeering charges, illegal gambling and money-laundering.
- Successfully defended graduate school professor in Title IX investigation involving allegations of sexual misconduct with students.
- Secured a sentence of probation with no prison term on behalf of a former manager of a public company in a high-profile insider trading prosecution by the U.S. Attorney’s Office for the Southern District of New York.
- Negotiated a misdemeanor plea with no prison term on behalf of the former Budget Director of the Town of East Hampton who was charged in a New York State indictment with securities fraud and mismanagement of the Town’s community preservation fund.
- Persuaded the U.S. Attorney’s Office for the Southern District of New York that no prosecution was warranted on behalf of an individual who was the subject of a federal criminal investigation into allegations of conspiracy with Marc Dreier to impersonate holders of fictitious securities.
- Secured immunity for the president of an environmental company in connection with a prosecution by the Antitrust Division of the U.S. Department of Justice.
- Persuaded the U.S. Attorney’s Office and the SEC not to charge a hedge fund employee in connection with an insider-trading internal investigation conducted by the fund.
- Negotiated a settlement on behalf of a not-for-profit CEO who was the target of an investigation by the Charities Bureau of the New York Attorney General’s Office.
- Persuaded the U.S. Attorney’s Office not to charge the director of billing for a large medical practice, who was the subject of a healthcare fraud investigation.
- Persuaded the SEC, pursuant to a successful “Wells” submission, not to charge a former board member of a public company in a fraudulent disclosure and stock manipulation case.
- Served as internal monitor on behalf of a multi-national fashion company for which we trained the Chief Financial Officer and other employees regarding compliance with tax rules in connection with certain cash sales.
The above list includes work performed by Serpe LLC's predecessor law firm.
Serpe LLC is the Go-To firm for top-shelf legal representation. Ms. Serpe is an excellent attorney and will represent your interests in the most proficient and professional way possible.
I met Silvia at the most difficult moment of my life - I was prosecuted by the federal government and the SEC for insider trading. Silvia and her former law partner worked as a team to represent me for both criminal and civil cases with the SEC. They negotiated with the SEC to reduce the size of my fine. During sentencing, Silvia also helped me to negotiate better terms of my supervised release. I highly recommend Silvia for her deep knowledge, compassion, dedication, and willingness to put extra effort to fight for her clients.
Silvia and her former law partner helped me through a very emotional multifaceted case. I truly felt they believed in me and my integrity and helped me practice patience through a long, frustrating process. The team was always available, responsive and insightful. They were professional, accommodating, direct, and did a masterful job orchestrating the lawsuit.
During a time in my life when it seemed as if the walls were closing in on me, Silvia Serpe settled me down and lifted me up and then skillfully guided me back to a better place. I cannot say enough about the professionalism and compassion displayed in handling me, and my complex case.
From my first meeting to the last interview with the Government, it couldn't have gone better. Silvia and her former law partner were professional and knowledgeable; they prepared me for my meetings with such ease and expertise. They made a very unique experience as pleasant as possible.
Silvia's qualifications and knowledge is superior; she does not miss a beat. She is honest and on point with everything and makes you feel comfortable the whole way, regardless of the temperature of the situation.
Silvia & her former law partner were relentless in their well-researched, well-constructed, and well-delivered presentation of my case. In the end, they were able to get the insurance company to write a check for more money than I ever thought possible. They are smart, direct, available, honest, and compassionate...and they have earned my highest recommendation.
I had the distinct pleasure and privilege to work with and learn from Silvia Serpe. Anytime I am involved in a complicated legal case I seek her guidance, which is indispensable to me and has allowed me to grow professionally.
Both Silvia Serpe and her former law partner were highly responsive, proactive and thoughtful from our very first meeting throughout the entire process. They always dug in to ensure they fully understood my needs, gave me the best opportunity for success and made me feel like their most important client. I highly recommend Silvia, and her team and have the utmost respect for their work and advice!
Ms. Serpe's high level of professionalism is exceeded by her keen and quick mind. She does not hesitate to tell you where you stand, patient in discussing the practical implications of the legalities swirling around you, and her sincerity shows in walking you through your options. I would not hesitate to recommend her for your needs and for you to follow her directions. The path she sets for you will help lead you out of whatever unfortunate circumstance you might find yourself.