White Collar, Investigations and Securities Enforcement and Litigation

“BakerHostetler is a large national firm that is well known for its litigation capabilities. It is noted for its strong white-collar criminal defense expertise, including the representation of clients in investigations brought by various governmental agencies.”

— Chambers USA 2022

BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team is among the nation’s leaders in all aspects of corporate criminal defense and enforcement-related litigation in the U.S. and around the world.

BakerHostetler is counsel to Irving H. Picard, Securities Investor Protection Act (SIPA) Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS), a global recovery effort for Madoff’s Ponzi scheme. More than $11.129 billion has been recovered and, combined with advances from the Securities Investor Protection Corporation (SIPC), more than $9.430 billion has been returned to victims.
Selected by the SEC and appointed by the U.S. District Court in Connecticut to serve as receiver of a half-billion-dollar hedge fund, Michael Kenwood Capital Management, LLC.
Secured complete dismissal of all charges against the CEO of a half-billion-dollar nationwide commercial real estate conglomerate charged in a 73-count fraud and money laundering indictment.
Successfully performed a comprehensive investigation for the audit committee and executive management of a global payment operator regarding compliance with OFAC trade sanctions in Iran, Syria, Libya and Cuba. Analyzed anti-money laundering and trade sanctions policies and procedures and conducted a forensic examination of books and records.
Obtained a favorable resolution for a former CFO of a Fortune 100 manufacturing company in an investigation by the SEC and DOJ into alleged FCPA violations by the company during the course of the CFO’s tenure.
Represented a former London-based JP Morgan managing director whose cooperation was sought in investigations related to a multibillion-dollar trading loss for the bank. Secured a rare non-prosecution agreement with the Justice Department and agreements with the SEC and CFTC, including one of the first non-prosecution agreements executed by the CFTC for an individual.
Representing a former department head of an engineering unit at an automobile manufacturer in a criminal investigation being conducted by the DOJ and the EPA. The investigation is looking into alleged fraud regarding the company’s compliance with domestic emission standards in its vehicles sold in the United States.
Obtained declination of charges on behalf of the president of an independent diagnostic testing facility in connection with a $40 million healthcare fraud conspiracy and anti-kickback statute investigation conducted by the DOJ and U.S. Department of Health and Human Services, Office of Inspector General.
Advised a major American energy company regarding the FCPA risks and requirements associated with doing business with the Nigerian National Petroleum Corporation.
Currently representing international real estate companies and their owners in a quarter-billion-dollar forfeiture action brought by the DOJ.
Represented the former CFO of a Fortune 50 company in a multiyear DOJ/SEC investigation into FCPA and accounting fraud allegations. No charges were filed with respect to the FCPA allegations, and we secured a non-fraud resolution of all accounting issues in a federal judicial mediation of the case.
Represented investment adviser and CEO of a private equity firm in connection with an SEC investigative subpoena concerning fraudulently charging investors fees without proper disclosure.
Retained by the government of the United Kingdom, National Crime Agency (the “British FBI”) as an expert witness on U.S. law pertaining to securities fraud, wire fraud and money laundering offenses.