Regulatory Investigations and Enforcement

Barton attorneys, many of whom come from agency and government backgrounds, are adept at aiding clients during formal regulatory investigations.

Our team has defended corporate clients facing investigations by almost all major regulatory bodies, including the SEC, DOJ, FINRA, the New York Department of Financial Services, the Office of Civil Rights of the U.S. Department of Health and Human Services, and the offices of the State Attorneys General. These investigations have revolved around a variety of complex white collar matters such as fraud, Foreign Corrupt Practices Act claims, false claims, bribery, tax violations, insider trading, and various cybersecurity and other regulatory violations.

Barton is committed to guiding our clients step-by-step through the investigative process, providing counsel on the best way to navigate these highly sensitive situations. Our attorneys’ previous government and regulatory experience puts Barton in the ideal position to defend against the full spectrum of federal and state financial crime charges.

Barton also implements a proactive approach to protecting its clients, advising companies on corporate risk management strategies and instituting preemptive precautions to minimize liability and risk exposure.

Work in this Area

Regulatory Investigations and Enforcement

Representative Matters
  • Favorably Settled Case Involving SEC Enforcement Action
    • Represented an investment adviser to a mutual fund in connection with an enforcement action by the SEC alleging fraud and breach of fiduciary duty. The case was favorably settled on the eve of trial.
  • Led Case Involving Dissolution of Three Corporations
    • Represented an individual in New York state court involving the dissolution of three New York corporations and derivative claims sounding in breach of fiduciary duty.
  • Navigated Investigations and Prosecutions by DOJ
    • Represented high-profile clients in investigations and prosecutions by the Department of Justice, including alleged securities fraud, tax fraud, and Foreign Corrupt Practices Act violations. Barton has represented clients at government interviews, depositions, proffer sessions, hearings, and grand jury appearances.
  • Represented Companies in SEC Matters
    • Represented companies in matters before the Securities and Exchange Commission (SEC), including responding to subpoenas, representing clients at witness interviews and depositions, drafting and defending Wells submissions, preparing for trial, presenting results of internal investigations to the SEC, and conducting settlement negotiations.
  • Represented Investors Before FINRA
    • Represented industry professionals and investor actions before the Financial Industry Regulatory Authority (FINRA).
  • Achieved Favorable Outcome in Four-Year Investigation
    • Represented a broker-dealer client during a nearly four-year investigation and caused a securities regulator to relent in its claims that the client had duties to the customers of an investment advisor for whom the client executed trades.
  • Defended Client and Avoided Sanctions in Case by Securities Regulator
    • Represented and defended a registered representative and his supervisor in an investigation by a securities regulator regarding the acceptance of multiple international, round-trip airline tickets by a broker-dealer employer’s preferred airline vendor. The case was closed by the securities regulator with neither sanctions imposed nor the issuance of a letter of caution.
  • Counsel to Clients Regarding SEC and FINRA Actions
    • Represented various broker dealers in SEC and FINRA enforcement actions.
  • Represented Client in Investigation by Dept. of Labor
    • Represented a high-profile company in an investigation by the Department of Labor into the Company’s classification of many workers as “independent contractors.” Successful in proving to the DOL that all such classified workers were, in fact, independent contractors and not employees.
  • Defended Employers Before the EEOC
    • Has represented employers before the EEOC and various state and local human rights agencies, successfully defending them against charges of sexual harassment, race discrimination, sex discrimination, age discrimination and disability discrimination.
  • Conducted Investigations into Sexual Harassment Claims
    • Has represented companies in cases involving allegations of sexual harassment, including conducting thorough internal investigations. After the investigations, Barton has provided reports to top management, including conclusions and recommendations.
  • Guided Clients Through I-9 Audits by ICE
    • Has represented employers during I-9 audits conducted by the U.S. Immigration and Customs Enforcement agency (ICE).
  • Represented Clients in Sexual Harassment, Wrongful Discharge Suits
    • Has represented multiple companies in both sexual harassment lawsuits and wrongful discharge suits.
  • Counsel to Assisted Living Facility in Audit by NYSDFS
    • Represented a major assisted living facility in a cybersecurity audit by the New York Department of Financial Services.
  • Defeated Motions to Dismiss in Data Misuse/Theft Case
    • Represented an insurance broker with regard to federal and state claims concerning allegations of data misuse and theft and defeated motions to dismiss.
  • Provided FDA Remediation Training
    • Provided FDA remediation training required by audit findings at biotech corporations with regard to record-keeping and manufacturing practices.