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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.

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