State and Federal Investigations and Enforcements

In recent years, federal and state government agencies have dramatically increased their investigation and enforcement activities; Companies of nearly any size may find themselves dealing with government investigations that could impact their reputation or business operations.
  • Stroock’s Government Relations Group represents clients in managing both the investigatory process and its associated risks, from inception to resolution:
  • Stroock is well-positioned to help companies protect themselves from such investigations before they are even commenced, through thoughtful and forward-looking planning and compliance;
  • For companies facing ongoing investigations, we provide counsel as to effective responses and risk management;
  • Should a matter reach the enforcement stage, our litigation team of former prosecutors, enforcement staff and government officials can provide comprehensive legal support to ensure our clients’ interests are protected.

Specific areas of experience include:

State and Federal Investigations. We have handled investigations by, among other agencies, the SEC, the Office of Congressional Ethics, the House of Representatives Committee on Standards of Official Conduct, the United States Department of Justice, the New York and American Stock Exchanges, the Chicago Board of Options Exchange, and the National Association of Securities Dealers.

Commodities and Derivatives. Our litigators regularly represent clients in investigations and inquiries before the Commodity Futures Trading Commission and the CME, as well as investigations involving the trading of futures on U.S. and foreign exchanges, over the counter transactions, commodity derivatives in their numerous forms, physical commodities, commodity indices, and algorithmic and high frequency trading.

We regularly deal with the enforcement staff of the CFTC and the compliance staff of the CME in connection with their review of transactional matters, and in connection with regulatory issues that impact registered persons, such as futures commission merchants. We also have successfully tried proceedings initiated by the CFTC and other regulatory agencies, including the SEC.

Internal Company Investigations. We have both conducted internal investigations on behalf of companies or their independent directors, and defended clients subject to government investigations related to internal investigations. We also assist clients in tailoring internal investigations to the risks, jurisdictions and regulators involved in specific matters.

White Collar Crime. Stroock has represented and actively counseled individuals and corporations that have been investigated and/or prosecuted for alleged federal racketeering, securities violations, tax evasion, bribery, fraud, corruption, obstruction of justice, money laundering, environmental offenses, and customs violations involving alleged international frauds.  We have also represented attorneys on ethical issues and in disciplinary proceedings in a number of jurisdictions in the New York area.