Miller & Chevalier's lawyers have extensive experience advising global public companies, financial institutions, hedge funds, boards of directors, audit committees, and senior executives in a wide range of securities enforcement matters, including insider trading, accounting fraud, and the Foreign Corrupt Practices Act (FCPA). Our team is also experienced with the anti-money laundering (AML) and Bank Secrecy Act issues that frequently accompany securities enforcement matters. Working at the intersection of litigation, white collar criminal defense, investigations, and tax law, Miller & Chevalier leverages its expertise to develop effective strategies to respond to regulatory inquiries and parallel civil and criminal proceedings.

Our lawyers regularly conduct complex internal investigations on behalf of public company boards and audit committees, including regular interaction with external auditors, and provide ongoing counseling to clients regarding the development and implementation of securities law compliance programs.  We have successfully represented clients before the Department of Justice (DOJ), Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Public Company Accounting Oversight Board (PCAOB), as well as foreign securities regulators. 

Through our years of experience, we have developed a deep understanding of our financial industry clients and their business considerations, as well as the critical role of boards and audit committees, and the expectations of securities regulators and external auditors with respect to compliance with securities laws and regulations.

  • Represented the audit committee of a publicly traded multinational manufacturer in conducting an independent investigation and interacting with external auditor regarding allegations related to cost accounting, reserve accounting, and whistleblower issues.
  • Represented the audit committee of a publicly traded, Fortune 500 vertically integrated oil and gas company in conducting an independent investigation and interacting with U.S. regulators regarding allegations related to internal controls for financial reporting, accounting, and corruption issues.
  • Represented current and former employees of a publicly traded, Fortune 25 financial services and banking company in connection with DOJ and SEC investigation involving allegations of fraud, disclosure, and other regulatory violations.
  • Represented the audit committee of a global asset manager in conducting an independent investigation and interacting with U.S. regulators regarding allegations of FCPA violations, economic sanctions, and money laundering.
  • Represented the audit committee of a U.S.- and Canadian-listed public company in an independent investigation into revenue recognition and reserve accounting issues.
  • Represented a privately-held retail company in conducting an investigation into internal financial controls issues and in interacting with external auditors.
  • Defended a former chief executive officer of a Fortune 25 company in an SEC accounting investigation.
  • Obtained a declination from the SEC on behalf of the chief financial officer of a business development company in an investigation relating to allegations of accounting fraud.
  • Successfully defended an investment adviser in connection with an SEC insider trading investigation involving a global pharmaceutical company.
  • Obtained a declination from FINRA on behalf of a registered broker and investment adviser at a large wealth management and financial services firm in connection with allegations that the broker had engaged in insider trading relating to exchange-traded funds (ETFs).
  • Successfully represented a registered broker and investment adviser at a large wealth management and financial services firm in a FINRA investigation into allegations that the broker had engaged in insider trading and breaches of the firm's information barriers. Following an interview and written submissions, FINRA determined not to proceed against this individual.
  • Represented a trader at a multinational bank and financial services corporation in a FINRA investigation into allegations that the trader engaged in insider trading, mismarked positions in his trading book, and traded U.S. Treasury securities in a manner that was not authorized.
  • Represented a global hedge fund in an insider trading investigation and proceedings conducted by the French Autorité des marchés financiers (AMF).
  • Assisted investment advisers by representing investment analysts, traders, and other personnel when the DOJ, SEC, and/or FINRA seek testimony in connection with insider trading and other securities law matters.
  • Advised multibillion-dollar hedge fund and private equity fund clients with respect to anti-corruption due diligence and compliance issues related to investments in and monitoring of portfolio companies in Brazil, Russia, India, and China.
  • Advised financial institutions with respect to AML policies, procedures, and controls. Conducted AML compliance audits of third-party administrators.
  • Assistant to the Solicitor General, U.S. Department of Justice
  • Assistant United States Attorney, District of Columbia
  • Assistant United States Attorney, Northern District of Illinois
  • Assistant United States Attorney, Civil Division of the U.S. Attorney's Office for the District of Columbia
  • Trial Chief, Public Defender Service for the District of Columbia
  • Senior Investigative Counsel, Special Committee on Investigations, U.S. Senate
  • Chief, Special Litigation Division, Public Defender Service for the District of Columbia
  • Assistant Federal Public Defender, Las Vegas, Nevada
  • Appellate Deputy Public Defender, Nevada State Public Defender's Office
  • Tax Assistant to the Solicitor General, U.S. Department of Justice
  • Deputy Associate Solicitor, Office of the Solicitor, U.S. Department of Labor
  • Trial Attorney and Director of Training, Public Defender Service for the District of Columbia
  • Supervising Attorney, Trial Division, Public Defender Service for the District of Columbia
  • Associate Counsel, Naval Sea Systems Command, Office of General Counsel, Department of the Navy
  • Associate Counsel, Naval Surface Warfare Center, Office of General Counsel, Department of the Navy
  • Senior Trial Attorney, Office of the Solicitor, U.S. Department of Labor
  • ERISA Counsel, Regional Office of the Solicitor, U.S. Department of Labor
  • ERISA Trial Attorney, Regional Office of the Solicitor, U.S. Department of Labor
  • Harvey J. Wilcox Fellow, Office of General Counsel, Department of the Navy
  • Attorney Advisor, Naval Air Systems Command, Office of General Counsel, Department of the Navy
  • Staff Attorney, Appellate and Trial Divisions, Public Defender Service for the District of Columbia
  • Legislative Assistant, U.S. House of Representatives
  • Chambers USA: Corporate Crime & Investigations (Nationwide), 2015 - 2019
  • Chambers USA: Litigation: White-Collar Crime & Government Investigations (District of Columbia), 2011 - 2019
  • Chambers USA: ERISA Litigation (Nationwide), 2015 - 2019
  • Chambers Global: Corporate Crime & Investigations (USA), 2016 - 2019
  • Chambers Global: Corporate Investigations (Global-wide), 2017 - 2019
  • Chambers Global: Corporate Investigations (Latin America-wide), 2015 - 2019
  • Chambers Global: FCPA (United States), 2015 - 2019
  • Chambers Latin America: Corporate Crime & Investigations (Latin America-wide), 2015 - 2019
  • Legal 500: Dispute Resolution: White-Collar Criminal Defense - Advice to Individuals (U.S.), 2011 - 2019
  • Legal 500: Dispute Resolution: White-Collar Criminal Defense - Advice to Corporates (U.S.), 2011 - 2018
  • Legal 500: Antitrust: Cartel (U.S.), 2015 - 2019
  • Legal 500: Labor & Employment: ERISA Litigation (US), 2012 - 2019
  • Global Investigations Review: GIR 30 Top Global Investigations Practice, 2015 - 2018
  • Global Investigations Review: Boutique or Regional Practice of the Year, 2016
  • U.S. News - Best Lawyers® "Best Law Firms": Criminal Defense: White-Collar (National), 2019
  • U.S. News - Best Lawyers® "Best Law Firms": Criminal Defense: White-Collar (District of Columbia), 2010 - 2019
  • U.S. News - Best Lawyers® "Best Law Firms": Commercial Litigation (District of Columbia), 2011 - 2012, 2014 - 2018 
10.24.2019
Speaking Engagement

William Barry, Paul Leder, and Addy Schmitt will present, as part of a panel, entitled "Cross-Border Enforcement Risks Relevant to Isle of Man Trusts" at the STEP Isle of Man Annual Conference on O

Isle of Man