White Collar Criminal Defense

Kaplan Hecker & Fink excels in representing executives and businesses in white collar criminal investigations and enforcement and regulatory proceedings.  Our lawyers have extensive experience at all stages of the investigation and litigation process, including representing our clients at trial. Named partner Sean Hecker has been recognized by Chambers as one of the leading White Collar Crime and Government Investigations lawyers in New York: “Hecker is a highly regarded white-collar defense lawyer who represents banks, public companies and board-level individuals. Clients say: ‘Sean is an excellent partner and a pleasure to work with. He is extremely knowledgeable about the law and applies it in a very practical way.'”

Prior to joining Kaplan Hecker & Fink, some of our lawyers’ representative white collar criminal defense matters included:

  • Represented multiple individuals at various financial institutions in DOJ and CFTC investigations relating to foreign exchange trading practices.
  • Represented a hedge fund founder in DOJ and SEC investigations of potential insider trading.
  • Represented a major investment bank in federal and state regulatory investigations relating to mortgage origination, underwriting and securitization practices.
  • Represented the former global head of structured-products ABS collateralized debt obligations at a major investment bank in an SEC inquiry into the offering of notes in a synthetic CDO.
  • Represented a large pharmaceutical company in a grand jury investigation of antitrust and related criminal charges, as well as in securities class action litigation.
  • Represented former pharmaceutical company executive in DOJ and SEC accounting fraud investigations.
  • Several foreign financial institutions in the DOJ Tax Division’s Program for Swiss Banks.
  • Represented several individuals in stock options back-dating investigations conducted by the United States Attorney’s Office for the Eastern District of New York, the SEC, and the New York County District Attorney’s Office.
  • Represented a multinational financial institution in connection with a criminal investigation into corruption in international soccer broadcasting.
  • Represented a multinational pharmaceutical company in investigations by the Department of Justice and numerous state attorneys general relating to improper marketing practices.
  • Represented an activist hedge fund in investigations by the New York Attorney General and the Securities and Exchange Commission into market manipulation and insider trading.
  • Represented a Fortune 500 company in SEC investigation into accounting improprieties and inadequate and inaccurate financial disclosures