Securities Enforcement, Government Investigations and Criminal Defense
The attorneys in our Securities Enforcement, Government Investigations and Criminal Defense practice group have extensive experience dealing with the current regulatory and prosecutorial priorities. We help institutional and individual clients defend – or more often avoid altogether – regulatory and criminal proceedings. Indeed, criminal prosecutors are increasingly investigating conduct that was previously of interest only to regulators, and Richards Kibbe & Orbe has long been a "go to" firm for clients confronting parallel criminal and regulatory investigations. Our lawyers include former prosecutors and SEC attorneys who understand the enforcement perspective and have substantial experience representing clients being investigated by the Department of Justice, state prosecutors, and the SEC. We also regularly represent clients in civil litigation that often accompanies criminal and regulatory matters.
We readily take on the tough challenges, confronting the government head-on when needed. We press for results that are fair and meet our client's objectives. We tailor our approach and strategy to the facts of the matter and the circumstances and goals of our clients. 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.
In addition to our extensive experience in financial and market-related investigations, we represent a wide range of clients in a variety of criminal and regulatory matters. Our clients include investment banks, hedge funds, investment advisers, public companies, pharmaceutical companies, technology companies, real estate investment trusts, universities, corporate officers and directors, lawyers, accountants and securities professionals. We represent clients in investigations and proceedings by the Department of Justice, the SEC, the FINRA, the New York Attorney General, as well as other federal and state agencies, usually regarding the latest "hot button" issues. With the breadth of our experience, we are ready to take on novel issues and are adept at marshalling policy arguments, as well as the law and the facts.
We do more than just 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 ongoing changes, and to avoid future liability. This work can become a critical component of an overall strategy, greatly reducing a client's exposure, and at times preventing regulatory or criminal proceedings entirely. In addition, we provide strategic advice on international securities regulation and enforcement and the cross-border conduct of business.
