Kaplan Rice LLP


White Collar Criminal and Regulatory Defense

We represent companies and individuals in all phases of federal and state criminal proceedings and before numerous regulatory bodies. Our clients come from a variety of backgrounds, including the securities, banking, insurance, healthcare, construction and real estate industries. We bring credibility and experience to our dealings with regulatory and enforcement authorities, including the Securities & Exchange Commission, the Department of Justice, and the Financial Industry Regulatory Authority.

We work closely with our clients in every phase of our white collar and regulatory practice to ensure that our representation is tailored to our clients’ immediate needs as well as their larger business interests. We understand the unique challenges of parallel civil and regulatory or criminal matters and we craft strategies that suit the overall context of the case. We conduct internal investigations to identify and limit problems and improve our clients’ internal controls. While our principal objective is to prevent an enforcement action or criminal indictment, we forcefully defend our clients (whether at trial or through a negotiated settlement) if one is brought.

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Kaplan Rice LLP