Through decades of experience in the private and public sectors, Richards Kibbe & Orbe lawyers have developed intricate knowledge of the complex accounting rules and other financial regulations that arise frequently in the context of internal investigations, audit committee representations and government investigations.

Broker-dealers, hedge funds, private funds and other leading financial services clients – as well as their boards, directors and senior officers - rely on RK&O and our reputation for deep industry expertise and discrete, responsive counseling in these areas.     more +

RK&O has an acute sense of current enforcement trends relating to financial and accounting fraud.  We bring this insight to bear both in counseling clients on how to prevent potential regulatory issues and in assisting clients throughout the process of mitigating risk and dealing with both domestic and foreign regulators when issues do arise.  Our team, which includes several former federal prosecutors and senior officials from the U.S. Securities and Exchange Commission (SEC), has represented numerous clients in proceedings before the SEC, the U.S. Department of Justice, the Financial Industry Regulatory Authority (FINRA) and other federal, state and foreign governmental agencies. 

RK&O has been recognized repeatedly by The Legal 500 and Chambers USA as among the preeminent law firms in this space. Our lawyers have been described as having “an understanding of both senior management and regulators" and the "know how to deal with the sensitivities of both."

• Receiver for Madoff Securities International, Ltd.
• Several foreign trustees in connection with investigations by the DOJ Fraud Section, the U.S. Attorney's Offices for the Southern District of New York and the Western District of Texas, the U.S. SEC, the Permanent Subcommittee on Investigations of the U.S. Senate and foreign regulators regarding alleged tax and securities fraud violations.
• A global financial services firm in connection with parallel U.S. Attorney's Office and SEC investigations into possible fraudulent conduct in connection with stock loan transactions.
• A law firm in connection with a DOJ investigation and prosecution of promoters and lawyers involved with various tax shelter schemes.
• Audit committee of One Liberty Properties in the investigation of misconduct by the company’s former chief executive officer, Jeff Fishman, and in subsequent DOJ and SEC investigations.
• A former derivatives salesperson at a global financial services firm in connection with the federal criminal and civil investigations concerning the municipal derivatives market, bid-rigging and other anti-competitive or fraudulent practices in the sale and pricing of derivatives to municipal issuers in connection with tax-exempt bond offerings.
• A global financial services firm with respect to an internal investigation into improper trading by a former foreign exchange specialist.
• Receiver for Westgate Capital Management, LLC.
• The chief executive officer of a major national banking conglomerate in connection with a criminal investigation and civil litigations concerning the accuracy of public statements made about the company’s financial health and performance.
• A former senior executive of a global financial institution in connection with an ongoing SEC investigation concerning public statements made about the company’s subprime exposure.
• A former chief executive officer of a Fortune 25 company in connection with investigations by the SEC, DOJ and New York Attorney General involving disclosure, revenue recognition and other accounting issues.