Securities Litigation, Business Crimes & Government Investigations
Our firm’s Securities Litigation, Business Crimes & Government Investigations practice represents individuals and corporations facing a wide spectrum of complex government investigations, regulatory matters, and civil and criminal litigation.
The practice is led by John J. Kenney, a former Executive Assistant U.S. Attorney for the Southern District of New York, and a litigation partner at Simpson Thacher & Bartlett, before joining Hoguet Newman Regal & Kenney, LLP in 2007. Mr. Kenney is a Fellow in the American College of Trial Lawyers, and is regularly listed as among the Best Lawyers in America (Corporate Governance and Compliance Law and Criminal Defense/White Collar Crime) and Super Lawyers in New York (Business Litigation).
Mr. Kenney and other attorneys at our firm have extensive experience in sophisticated and high profile civil and criminal investigations, and litigation. Our lawyers have conducted numerous internal corporate investigations, including allegations of securities fraud, violations of the Investment Company Act of 1940 and the Investment Advisers Act, the Foreign Corrupt Practices Act, and bank fraud. We also regularly represent clients before various government agencies including the Securities and Exchange Commission, FINRA and the Office of Government Ethics, and have represented individuals in hearings and investigations by the committees of the U.S. House of Representatives and U.S. Senate. Our firm also has extensive litigation experience before state and federal grand juries, as well as trial and appellate courts.
In addition to our broad-based domestic business crimes and government investigations practice, our firm has represented clients in connection with foreign criminal and tax investigations and in connection with requests between foreign governments and the United States for information sharing and extradition in aid of criminal investigations.
Recent client representations and engagements include:
- Represented the former Chief Financial Officer of a publicly-held company in a ten week jury trial on criminal securities fraud charges in the Federal Court in Manhattan.
- Represented an officer and head U.S. dollar swaps trader at a major international bank in an investigation by the Department of Justice, the Commodities Futures Trading Commission and other regulating agencies into the setting of LIBOR Rates.
- Represented the head energy trader of a major international bank in a FINRA investigation into the receipt and use of rumor/inside information, subsequently found to be untrue.
- Represented a major U.S. asset management company in an investigation by the Securities and Exchange Commission into whether the method of obtaining funds from sovereign wealth fund and foreign pension fund clients violates U.S. laws and regulations under the Foreign Corrupt Practices Act.
- Represented several companies in connection with government investigations under the Foreign Corrupt Practices Act.