White Collar Defense

Barton’s White Collar Defense team includes attorneys from a wide variety of investigative and prosecutorial backgrounds, including former Special Agents, federal prosecutors, and FINRA compliance examiners.

A diverse wealth of experience has allowed our attorneys insight into the often complex process of government investigations. Our team has successfully defended financial institutions and individuals alike against claims relating to securities fraud, wire/mail fraud, tax violations, money laundering, bribery, embezzlement, trade secret theft, and insider-trading.

We understand the high-stakes nature of these matters and that clients’ reputations are often on the line. We are therefore conscientious about securing the best possible outcome for our clients, whether that be through finding solutions outside of court or, when necessary, using an aggressive approach to defend our clients during litigation.

Work in this Area

White Collar Defense

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Representative Matters
  • Defended Client Regarding Violations of Iranian Trade Regulations
    • Represented an individual defendant on motions for a judgment of acquittal and/or a new trial with respect to convictions for violations of the Iranian Trade Regulations, money laundering, and obstruction of justice. The defendant’s sentence was reduced to less than half that sought by the government and recommended by the pre-sentence report.
  • Defended Client Regarding Alleged Improper Sale of Stock
    • Represented an individual defendant through trial on criminal charges related to the alleged improper sale of stock.
  • Defended Against Issuance of Temporary Restraining Order, Preliminary Injunction
    • Successfully defended against the issuance of a Temporary Restraining Order and Preliminary Injunction claiming the misappropriation of confidential client information and breach of contract in New Jersey State Court against an advisor who departed from Edward Jones LLP and joined a competitor.
  • Represented RIA in Suit Against Former Owner, Employees
    • Represented a Tennessee-based Registered Investment Advisor (RIA) in a suit against former owners and employees regarding misappropriated trade secrets, confidential information retention, and unlawful competition. Subsequently filed arbitrations and successfully settled without the need for litigation.
  • Obtained Dismissal of Information Misappropriation Claims
    • Represented a former advisor of a regional investor services company against an NY state claim that they had misappropriated confidential client information and trade secrets. Moved to dismiss the case based on lack of jurisdiction, which was successfully granted by the court.