Nixon Peabody LLP

  • People
  • Capabilities
  • Insights
  • About

Trending Topics

    • People
    • Capabilities
    • Insights
    • About
    • Locations
    • Events
    • Careers
    • Alumni

    Practices

    View All

    • Affordable Housing
    • Community Development Finance
    • Corporate & Finance
    • Cybersecurity & Privacy
    • Environmental
    • Franchising & Distribution
    • Government Investigations & White Collar Defense
    • Healthcare
    • Intellectual Property
    • International Services
    • Labor & Employment
    • Litigation
    • Private Wealth & Advisory
    • Project Finance
    • Public Finance
    • Real Estate
    • Regulatory & Government Relations

    Industries

    View All

    • Cannabis
    • Consumer
    • Energy
    • Entertainment
    • Financial Services
    • Healthcare
    • Higher Education
    • Infrastructure
    • Manufacturing
    • Non Profit
    • Real Estate
    • Technology

    Value-Added Services

    View All

    • Alternative Fee Arrangements

      Developing innovative pricing structures and alternative fee agreement models that deliver additional value for our clients.

    • Continuing Education

      Advancing professional knowledge and offering credits for attorneys, staff and other professionals.

    • Crisis Advisory

      Helping clients respond correctly when a crisis occurs.

    • DEI Strategic Services

      Providing our clients with legal, strategic, and practical advice to make transformational changes in their organizations.

    • eDiscovery

      Leveraging law and technology to deliver sound solutions.

    • Global Services

      Delivering seamless service through partnerships across the globe.

    • Innovation

      Leveraging leading-edge technology to guide change and create seamless, collaborative experiences for clients and attorneys.

    • IPED

      Industry-leading conferences focused on affordable housing, tax credits, and more.

    • Legal Project Management

      Providing actionable information to support strategic decision-making.

    • Legally Green

      Teaming with clients to advance sustainable projects, mitigate the effects of climate change, and protect our planet.

    • Nixon Peabody Trust Company

      Offering a range of investment management and fiduciary services.

    • NP Capital Connector

      Bringing together companies and investors for tomorrow’s new deals.

    • NP Second Opinion

      Offering fresh insights on cases that are delayed, over budget, or off-target from the desired resolution.

    • NP Trial

      Courtroom-ready lawyers who can resolve disputes early on clients’ terms or prevail at trial before a judge or jury.

    • Social Impact

      Creating positive impact in our communities through increasing equity, access, and opportunity.

    1. Home
    2. Capabilities
    3. Practices
    4. Government Investigations & White Collar Defense
    5. Financial Institution InvestigationsGovernment Investigations & White Collar Defense

    Financial Institution Investigations

    Financial institutions subject to subpoenas or document requests face significant risk. We guide you through these inquiries, limiting exposure.

    Overview

    Inquiries and document requests from DOJ, SEC, state AGs, and other agencies pose significant risk to banks, broker-dealers, and other financial institutions. These inquiries are often sensitive, touch on important customer relationships, or potentially implicate the institution’s personnel or policies. Our team assists you in responding to these requests. We handle all aspects of investigations, from preserving documents and data, to counseling on anti-money laundering laws, to defending against SEC or DOJ inquiries and enforcement actions. We understand the difficulties inherent in responding to these inquiries, including the burden these projects place on staff at all levels. We help manage that burden by developing strategies designed to mitigate risk, manage exposure, and protect companies and individuals.

    Representative Experience

    • Successfully assisted a U.S.-based company fully recover funds from a Hong Kong bank that had been stolen as a result of an international cyber scam
    • Represented multiple cryptocurrency and blockchain technology companies in internal and SEC investigations
    • Obtained dismissal of Securities and Exchange Commission’s claims in high-profile CDO/CDS case alleging securities law violations by collateral manager of $1 billion CDO
    • Representing companies and individuals in the financial industries with respect to regulatory compliance, advising them in matters involving the Bank Secrecy Act and anti-money laundering laws and other frameworks
    • Successfully represented a securities broker who was barred from FINRA; after a successful appeal to the SEC the broker’s bar was rescinded
    • Obtained summary judgment for an investment banker in Rhode Island Federal Court against the SEC’s allegations of securities fraud; at issue was a $75M bond offering by the state of Rhode Island to finance a video game company, 38 Studios LLC, which was owned by former Red Sox pitcher Curt Schilling
    • Successfully defended a financial company in an SEC probe, which was closed with no finding of any wrongdoing
    • Represented a Fortune 500 company in a federal financial investigation, which was closed with no finding of wrongdoing by the company
    • Handled charges of financial fraud involving a massive, years-long highway construction project
    • Assisting multiple individuals/executives in FINRA investigations and regulatory matters and advising a capital market company in connection with a securities matter adverse to FINRA
    • Represented global financial institution in tax evasion and anti-money laundering investigations
    • Advised hedge fund, its manager, and trader in connection with SEC investigation for insider trading concerning a trade made in the hours preceding a takeover announcement; successfully obtained termination notice following written and oral testimony six months after the investigation was opened

    Our Team

    See Full Team
    • Brian T. Kelly

      Partner
      • Boston
      • Office:617.345.1065
      • bkelly@nixonpeabody.com
      Brian T. Kelly
    • Joshua C. Sharp

      Partner
      • Boston
      • Office:617.345.1135
      • jsharp@nixonpeabody.com
      Joshua C. Sharp
    • Robert Fisher

      Partner / Practice Group Leader, Government Investigations & White Collar Defense
      • Boston
      • Office:617.345.1335
      • rfisher@nixonpeabody.com
      Robert Fisher
    • Mark D. Lytle

      Partner
      • Washington Dc
      • Office:202.585.8435
      • mlytle@nixonpeabody.com
      Mark D. Lytle
    • Travis Hill

      Partner
      • New York
      • Office:212.940.3131
      • thill@nixonpeabody.com
      Travis Hill
    • Lauren Maynard

      Associate
      • Boston
      • Office:617.345.1238
      • lmaynard@nixonpeabody.com
      Lauren Maynard
    See full team

    Insights And Happenings

    • Alert

      DOJ Corporate Enforcement Policy sees “first significant” revisions since 2017

      Jan 18, 2023
    • Press Release

      Former senior DOJ official expands Nixon Peabody’s Government Investigations & White-Collar Defense practice on the West Coast

      Jan 3, 2023
    • Press Release

      Nixon Peabody partner Brian Kelly named to the 2022 Irish Legal 100

      Oct 19, 2022

    Subscribe to stay informed of the latest legal news, alerts, and business trends.Subscribe

    • People
    • Capabilities
    • Insights
    • About
    • Locations
    • Events
    • Careers
    • Alumni
    • © 2023 Nixon Peabody. All rights reserved
    • Privacy Policy
    • Terms of Use
    • Statement of Client Rights
    • Supplier Diversity Program
    • Nixon Peabody International LLC
    • PAL