Investigations & Enforcement

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Overview

RK&O has long been a go-to firm in the fields of securities enforcement, government investigations and criminal defense. Clients seek us out for our proven record of maneuvering through difficult regulatory and criminal issues, whether in the context of high profile investigations, parallel criminal and regulatory proceedings or the latest hot-button issues. We help institutional and individual clients defend – or more often avoid altogether – regulatory and criminal proceedings.

Our clients include a broad spectrum of participants in the financial and securities markets, including issuers and their boards, audit committees and special committees; private companies; accounting firms; financial services companies; hedge funds; broker-dealers; and the managers, officers and directors of these entities. Our clients retain us to represent them in the context of matters involving domestic and cross-border investigations of financial and accounting fraud; securities trading and market manipulation; broker-dealer sales practices; corruption, bribery and money laundering; and a wide range of regulatory and criminal issues involving domestic and international regulators.

Our lawyers include former prosecutors and SEC attorneys who understand the enforcement perspective. We have substantial experience representing clients being investigated by the SEC, Department of Justice, Financial Industry Regulatory Authority (FINRA), Congress, state regulators and attorneys general, and other domestic and foreign governmental agencies. We readily take on the tough challenges, confronting the government head-on when needed. We press for results that are fair and meet our clients' objectives. For regulated entities, which often need to maintain constructive relations with criminal authorities and regulators, we are adept at striking the correct balance between the government's insistence on cooperation and the need to defend the company. In every matter our response is targeted and efficient, and is based on a thorough understanding of the client’s business. Throughout our representation, we address not only the client's legal issues, but also business, operational and reputational concerns, always seeking to achieve an outcome that accommodates all the client's interest and goals.

RK&O does more than defend clients in today's investigation—we help them avoid tomorrow's. We work closely with institutional clients to help them design and implement effective compliance policies, internal procedures, and business practices to remain compliant with regulations, to adapt to market and regulatory changes, and to avoid future liability. Our preventive counseling is often a critical component of a client’s overall compliance strategy, greatly reducing a client's risk exposure and at times averting regulatory or criminal proceedings entirely.

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