White Collar Criminal Defense

Print PDF


RK&O partners have decades of experience defending companies, board committees, directors, and senior executives in high-stakes white collar government investigations and prosecutions. Our team includes former federal prosecutors from the U.S. Attorney’s Office for the Southern District of New York (SDNY) and a senior enforcement lawyer of the Securities and Exchange Commission (SEC). Many of our matters are cross-border in scope, and many involve investigations by multiple government agencies into securities and commodities trading, accounting fraud, foreign corruption (FCPA), domestic public corruption, economic sanctions, money laundering or antitrust enforcement.

Our white collar practice has been recognized by Chambers USA, Legal 500, National Law Journal, Global Investigations Review, Benchmark Litigation, Super Lawyers and USA Today’s “Best Law Firms.”



  • J.P. Morgan Chase in connection with the insider trading trial of Sean Stewart. Before trial, RK&O litigated a significant issue of attorney-client privilege that was central to the government’s case.
  • Level Global in the insider trading prosecution of its co-founder, Anthony Chiasson, in relation to charges that he and another portfolio manager profited $72 million by illegally trading technology stocks.
  • Interdealer firm ICAP in investigations by the DOJ (criminal fraud and antitrust) and CFTC, as well as by U.K. regulators, over its alleged role in Yen Libor rate manipulation, as well as in related civil litigations.
  • Torneos, a leading sports production company in South America, in the DOJ’s investigation of FIFA officials for corruption and money laundering. RK&O secured the first corporate Deferred Prosecution Agreement (DPA) in the matter.
  • A global bank in DOJ and SEC prosecutions relating to undisclosed markups in cross-border equity trading.
  • An international financial services firm in connection with an asset forfeiture proceeding and related DOJ investigation into alleged money laundering.
  • 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.
  • A large law firm in connection with charges of bribery against the Treasurer of the State of Connecticut.
  • Multiple hedge funds in connection with investigations by the SDNY and the SEC regarding short selling violations and the alleged spread of malicious rumors.

Boards & Board Committees

  • Board of Petrobras, the Brazilian state-controlled oil company, in government investigations and civil litigation in the U.S. and Brazil.
  • Audit Committee of Och-Ziff in an FCPA investigation, DOJ and SEC resolution and compliance review.
  • Special Committee of Iconix in connection with an alleged roundtripping scheme by its former CEO, COO and CFO.
  • Audit Committee of One Liberty Properties in the investigation of misconduct by the company’s CEO, and in subsequent DOJ and SEC investigations.
  • Numerous foreign trustees in connection with investigations by the DOJ, the SEC, the Senate Permanent Subcommittee on Investigations and foreign regulators regarding alleged tax and securities fraud violations.
  • Audit Committee members in an internal investigation and parallel criminal and SEC proceedings involving accounting irregularities identified by the public company’s outside auditor.
  • Court-appointed independent examiner in United States v. Computer Associates and SEC v. Computer Associates.


  • Jack Grubman, a senior research analyst at Citibank, in connection with charges related to his research coverage.
  • The CIO of J.P. Morgan Chase in connection with the London Whale case.
  • An individual investor in a pharmaceutical company criminally charged with insider trading. RK&O secured a sentence well below the recommended Sentencing Guidelines.
  • An individual associated with a prominent member of Congress who was indicted for insider trading. RK&O secured a favorable no-admit no-deny settlement with the SEC and no criminal charge.
  • The former President of an autoparts manufacturing company in an investigation by the DOJ regarding pricing collusion.
  • A compliance manager of a global bank and a senior trader of another global bank in a DOJ investigation of U.S. Treasury auctions.
  • More than a dozen subjects and witnesses in DOJ/SEC/State Attorney General investigations and prosecutions regarding disclosure violations in the purchase and sale of RMBS.
  • Several RMBS traders and salespeople in DOJ/SEC/FINRA investigations and prosecutions of alleged false statements in RMBS trading.
  • The CEO 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 senior officer of a drug company in connection with criminal, regulatory and congressional subcommittee inquiries into insider trading allegations.
  • Employee of a publicly-traded company charged with environmental crimes.
  • A former derivatives salesperson at a global bank in government investigations concerning anti-competitive or fraudulent practices in the sale of derivatives to municipal issuers in connection with tax-exempt bond offerings.
  • A former CEO of a Fortune 25 company in connection with investigations by the DOJ, SEC and New York Attorney General involving disclosure, revenue recognition and other accounting issues.
  • Senior employees of a French financial institution in a criminal investigation into potential violations of Cuba sanctions.
  • More than two dozen employees of a global bank in economic sanctions and money laundering investigations by the DOJ, the New York Department of Financial Services, the Manhattan DA’s Office, the New York Attorney General and other agencies.
  • The CEO of a non-U.S. broker-dealer indicted for alleged market manipulation.
  • The CEO of a U.S. broker-dealer indicted for FCPA violations in the SDNY.
  • An employee of Jefferies on charges of embezzlement. The client pleaded guilty but received probation.