White Collar Litigation and Investigations

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Our White Collar Litigation & Investigations Practice Group at Carter Conboy includes attorneys with decades of investigative, trial and courtroom experience in all aspects of criminal, civil and administrative matters including complex corporate, financial, securities and enforcement-related issues in state and federal courts and before administrative tribunals.  Our clients include publicly traded and privately owned corporations, businesses and individuals that become the subject of government regulatory, civil and criminal investigations, and the civil and criminal charges and fines that follow.

Our attorneys possess unparalleled experience and an understanding of the complex state and federal trial procedures from the prosecutorial, defense and judicial perspectives which is advantageous to our clients. They include attorneys with the following experience: Enforcement Counsel to the U.S. Securities and Exchange Commission; Assistant U.S. Attorney of the Criminal Division of the Northern District of New York; Assistant District Attorney; General Counsel to the Division of New York State Police; Chief of the Criminal Division for the U.S. Attorney’s Office for the Northern District of New York; and Chief U.S. Magistrate Judge for the Northern District of New York.

Our Services

  • Accounting Fraud
  • Antitrust Fraud
  • Bank Fraud
  • Bribery
  • Business Fraud
  • Commercial and Consumer Fraud
  • Corporate Fraud
  • Criminal and Civil RICO Actions
  • Criminal and Civil Environmental Actions
  • Cross-Border Investigations and Actions
  • Defense Contractor Fraud
  • Department of Labor (DOL) Investigations
  • Division of Human Rights Investigations (NYSDHR)
  • Equal Employment Opportunity Commission (EEOC)
  • Embezzlement
  • Enterprise Corruption
  • Financial Fraud
  • Government Contractor Fraud
  • Health Care Fraud and Investigations
  • Investment Fraud
  • Immigration Fraud
  • Insider Trading
  • Mail and Wire Fraud
  • Medicare and Medicaid Fraud
  • Money Laundering and Wire Fraud
  • Mortgage Fraud
  • Qui Tam Whistleblower Actions
  • Pharmaceutical Fraud
  • Public Corruption
  • Real Estate Fraud
  • SEC Investigations and Enforcement Actions
  • Securities Fraud
  • State Inspector General Investigations
  • Tax Fraud
  • Theft of Honest Services
  • Theft of Intellectual Property

Representative Experience

  • Vast involvement working on matters involving federal civil violations of the Securities Act of 1933, Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.
  • Successful trial involving the chief executive officer of a financial services institution and the chief financial officer of a publically traded consolidator in environmental remediation, related to bank fraud in connection with a $1.6 million Small Business Administration loan and a subsequent “pump and dump” stock scheme.
  • Successful disposition involving the principal of a U.S. financial company related to securities fraud in connection with the sale of unregistered investment contracts resulting in approximately $3.7 million in investor losses.
  • Litigation of securities enforcement cases from charging through discovery and trial, including depositions and testimony of chief executive officers and investment fund managers.
  • Successful trial involving an investment adviser accused of federal civil securities fraud in connection with a $19.5 million Ponzi scheme involving unregistered promissory notes.
  • Successful trial involving a three-defendant international wire fraud and money laundering “advance-fee” scheme related to the purported financing of real estate construction projects worth $1.6 million in fraud proceeds being laundered through Latvia and foreign and domestic “shell” corporations. This trial involved the successful obtainment of foreign documentary evidence using Mutual Legal Assistance Treaty (“MLAT”).
  • Successful trial involving an international bank fraud and money laundering “advance-fee” scheme related to the purported sale of American-made cigarettes to domestic and foreign investors.
  • Investigations related to violations of the Food, Drug and Cosmetic Act, including a case involving a pharmaceutical company and company president accused of fraud in connection with a misbranded non-FDA approved drug in violation of Food, Drug and Cosmetic Act, and forfeiture of $1.7 million in gross profits.
  • Criminal investigation of a pharmaceutical company regarding the off-label sale of a local anesthetic for uses not approved as safe by the Food and Drug Administration, including the coordination of a parallel civil investigation by U.S. Attorney’s Office and a separate Qui Tam/Relator
  • Investigations and trials related to Medicare and Medicaid fraud, including a case involving a health care medical equipment provider accused of Medicare and Medicaid fraud in connection with fraudulent sales.
  • Successful defense of a police department involving negotiations with the United States Department of Justice resulting in full dissolution of a thirty-five year Title VII Civil Rights Consent Decree.
  • Investigation of a police department involving allegations that executive officers subverted a United States Department of Justice Department Title VII Civil Rights Consent Decree when they compromised a police officer entrance exam.
  • Extensive experience working on matters related to litigation and responses to Equal Employment Opportunity Commission (EEOC), New York State Division of Human Rights (NYSDHR), United States Department of Labor (USERRA), and State Inspector General investigations and matters.