Investigations & Enforcement

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RK&O has long been a go-to firm for internal and government investigations, securities enforcement matters and criminal defense.

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. We regularly represent clients in 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.

RK&O’s lawyers include former prosecutors, SEC lawyers, and private practitioners who have a deep understanding of the government enforcement landscape and have high credibility with the courts and with federal and state prosecutors and regulators. We have substantial experience representing clients who are investigated by the SEC, DOJ, CFTC, FINRA, Congress, state regulators and attorneys general and other domestic and foreign governmental agencies. We have particular expertise in navigating parallel criminal, regulatory and civil proceedings.

In every matter, our response is targeted and efficient, and we press for results that address our clients’ legal issues while also considering their business, operational and reputational concerns. When appropriate, we confront the government head-on. 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.

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 proactive counseling for companies and boards of directors 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.