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Investigations and White Collar Crime 


In an increasingly global regulatory environment, where investigations often span numerous jurisdictions and involve coordination by multiple government authorities, it is more critical than ever that corporations and financial institutions seek guidance from strong, experienced and globally-integrated counsel. Linklaters’ international footprint and deep breadth of regulatory and agency experience ideally positions our Investigations and White Collar Crime team to respond immediately to our clients during a crisis and to steer clients through their most serious cross-border regulatory matters.

Our team represents corporations, financial institutions, senior executives, board members, and public officials on a variety of criminal and civil regulatory matters, including matters involving the Foreign Corrupt Practices Act (FCPA), bribery and corruption, fraud (including trade, accounting disclosure, health care and money laundering), export controls and sanctions, antitrust and competition, data privacy, cyber security, the False Claims Act (FCA), and other regulatory inquiries and investigations. We defend clients in all stages of federal and state criminal proceedings and in related civil and administrative disputes, and we have deep experience defending matters against the U.S. Department of Justice (DOJ), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other agencies. By working hand-in-hand with our international colleagues, we are able to seamlessly advise on all sides of multi-jurisdictional investigations, avoiding the challenges that arise with using separate counsel for each jurisdiction.

Our clients benefit greatly from our team members’ considerable senior-level DOJ and SEC experience. For example:

  • Matt Axelrod previously served as the Principal Associate Deputy Attorney General at DOJ, where he was one of DOJ's highest ranking officials, as an Associate Deputy Attorney General, as Senior Counsel to the Assistant Attorney General for the Criminal Division, and as an Assistant United States Attorney in the Southern District of Florida
  • Doug Davison previously served as counsel to former SEC Chairman Arthur Levitt and, prior to that, Doug served as staff attorney and then branch chief of the SEC’s division of enforcement
  • Adam Lurie, who leads our White Collar Defense and Investigations practice, served as Senior Counsel to the Assistant Attorney General for the Criminal Division at DOJ, as well as an Assistant United States Attorney in the District of New Jersey
  • Doug Tween previously served for 15 years as a Trial Attorney in DOJ Antitrust Division, during which time he received the Attorney General’s Distinguished Service Award and the Antitrust Division Award of Distinction

Another point of differentiation for our practice is our extensive work with governments and multilaterals, which has been led by Lance Croffoot-Suede, who brings over 20 years of criminal law experience. Additionally, nearly all the members of our Investigations and White Collar Crime team have clerked for federal trial and appellate court judges. Our team has deep courtroom experience, having tried numerous complex white collar felony cases to federal juries.

Our team members’ recent experience includes:

FCPA and anti-bribery

  • representing a global service provider in an FCPA investigation by DOJ and SEC of bribery in nine countries
  • advising a Fortune 500 healthcare company on multiple internal FCPA investigations throughout Africa and Asia and consulting on FCPA compliance
  • advising an audit firm in an internal investigation into issues regarding bribery and facilitation payments in an African country 
  • advising a leading multinational life sciences company on potential FCPA exposure at both the corporate and individual levels 
  • counseling a Fortune 50 company on possible FCPA and AML exposure, and revising corporate policies to improve the compliance function 
  • advising a multinational engineering consulting company in connection with a fraud and bribery investigation conducted by the Integrity Vice Presidency of the World Bank
  • advising a leading financial institution in an FCPA investigation involving its purchase of a Mexican company which faced allegations of potential bribery. We were hired to investigate the allegations and found that they could not be substantiated, thus resulting in the client successfully completing the purchase
  • a global financial institution in an SEC investigation of Foreign Corrupt Practices Act (FCPA) issues arising from hiring practices

Anti-money laundering and sanctions

  • advising a state-owned central bank as lead U.S counsel in a worldwide embezzlement and fraud investigation
  • assisting a major foodservice and retail technologies company on compliance with international sanctions regimes, implementing sanctions and anti-corruption compliance policies and directing pre-acquisition corruption and sanctions due diligence
  • advising numerous buyers in connection with OFAC and EU due diligence of targets and general compliance with the U.S. and EU sanctions regime 
  • advising global financial services companies in multiple regulatory investigations of potential money laundering, insider trading, supervision and other issues involving international and domestic clients

Financial markets

  • representing major global financial institutions in connection with multi-jurisdictional regulatory investigations into foreign exchange trading
  • defending a major global financial institution in a class action lawsuit in the Southern District of New York, against claims of Sherman Act violations and various asserted claims under the Commodity Exchange Act
  • advising a global financial services firm in connection with regulatory inquiries regarding supervision of an employee who perpetrated a fraudulent investment scheme
  • advising a global financial services firm in an CFTC investigation of supervision of system for processing exchange and clearing fees
  • advising a U.S. energy construction and engineering company in an SEC investigation of revenue recognition practices
  • advising a global financial institution in an SEC investigation of Foreign Corrupt Practices Act (FCPA) issues arising from hiring practices
  • advising a global financial services firm and employees in regulatory investigations connected with derivatives trading, internal controls and disclosure issues involving the SEC, DOJ and CFTC
  • advising a foreign derivatives exchange in SEC investigation that resulted in a 21(a) report, rather than an enforcement action and civil penalty
  • advising numerous investment advisory firms and individuals in SEC insider trading inquiries in which no enforcement actions were taken

Fraud and False Claims Act

  • representing a global company in a wide-ranging FCA investigation by DOJ
  • defending an individual accused of bank fraud and money laundering in connection with a USDA export guarantee program
  • conducting internal investigations for a multinational industrial and chemical company in FCA and customs fraud inquiries
  • representing New York Governor Andrew M. Cuomo as lead counsel in a civil rights and FCA suit

Contact

Matthew Axelrod

Partner, Washington D.C.

(1) 202 654 9264

matthew.axelrod@linklaters.com

 

Lance Croffoot-Suede

Partner,  New York

(1) 212 903 9261

lance.croffoot-suede@linklaters.com

 

Doug Davison

Partner, Washington D.C.

(1) 202 654 9244

doug.davison@linklaters.com

 

Adam Lurie

Partner, Washington D.C., New York

(1) 202 654 9227 (D.C.)
(1) 212 903 9145 (New York)

adam.lurie@linklaters.com

 

Douglas Tween

Partner,  New York

(1) 212 903 9072

douglas.tween@linklaters.com