White Collar and Government Investigations

White Collar and Government Investigations

Tarter Krinsky & Drogin's White Collar and Government Investigations practice group represents individuals and companies in all manner of federal and state business crimes prosecutions. We appreciate the unique challenges confronting clients caught up in the high-stakes, often bewildering world of a criminal investigation. We work quickly to master the operative facts and the applicable legal framework, establish a channel of communication with the government and develop an action plan so that the client can minimize the operational and reputational distractions that can go along with an enforcement inquiry.

We handle matters in practically every area of white-collar focus: insider trading, tax offenses, healthcare and other regulated industries, public and commercial bribery schemes, securities fraud, federal RICO and New York OCCA theories of organized corruption, FCPA, environmental offenses, antitrust enforcement, money laundering and currency structuring, accounting fraud and other public company disclosures, etc.

We represent clients before numerous offices and agencies, including the DOJ and United States Attorneys, New York District Attorneys and other local prosecutors, the SEC, the FBI, etc.

Although our experience fighting felony charges aggregates to years in the courtroom, our first focus is always on case assessment, with an eye to convincing prosecutors that the circumstances, or our client's role in the events, do not warrant the stigma of criminal indictment. Some of our most significant victories therefore occur out of the public eye – we understand that government lawyers are generally open to be educated toward the just outcome, and we are experienced in deciding when the benefits of such an approach might outweigh the risks.

White-collar investigations present complex and sophisticated issues that are often critical to the client's practical exposure. We therefore frequently work with forensic accountants, testifying economists and other professionals to understand and best communicate key concepts. We also recognize that a criminal investigation often spills over into other aspects of the client's personal and business affairs. As a full service firm, we are well positioned to provide prompt and efficient advice regarding regulatory, tax, civil-litigation or myriad other impacts of a government probe.

We also counsel companies affected by the alleged wrongdoing of their employees or other individuals. We conduct internal investigations on behalf of management, directors or committees of public and private entities. In addition to clarifying factual questions, we advise the client on its best response, and help as necessary to refer the matter for enforcement, contend with any related litigation or adopt strategies to prevent any recurring problems.

Finally, wherever an investigation culminates in liability for a client, we work diligently to persuade the government and the tribunal that the sanction should be just and reasonable. We believe that "winning the sentence" is one of the most critical responsibilities of the advocate, and we are creative and dogged in seeking to minimize the impact on an individual's family or a company's business.

Name Title Direct Dial Vcard
Dougherty, Anthony D. Partner and Chair of Corporate Investigations Practice and Co-Chair of Reputation Management Practice Partner and Chair of Corporate Investigations Practice and Co-Chair of Reputation Management Practice 212.216.8099 VCard
Feder, Hagit Senior Compliance Administrator, CFE Senior Compliance Administrator, CFE 212.216.1109 VCard
Grudberg, Michael J. Partner Partner 212.216.8035 VCard
Heim, Robert G. Partner Partner 212.216.1131 VCard
Schoenstein, Richard C. Partner and Co-Chair of Securities and Financial Services Litigation Group Partner and Co-Chair of Securities and Financial Services Litigation Group 212.216.1120 VCard
  • Law Brief Podcast: Robert Heim and Rich Schoenstein Explore “Here Comes the SEC”

    On this week’s episode of Law Brief, “Here Comes the SEC,” Litigation and Corporate & Securities partner Robert Heim joins Litigation partner and host Rich Schoenstein to discuss the Security and Exchange Commission (SEC). With his experience as a former Assistant Regional Director for the SEC, Robert Heim offers unique insight into the financial regulatory agency. Robert and Rich explain how an SEC investigation works and how a person involved as a witness or target might respond to such an investigation.

  • Michael Grudberg Featured in Law360 on Twitter Stock Fraudster Suit

    White Collar and Government Investigations partner Michael Grudberg is featured in Law 360’s article “Investors Denied Cert. Rethink In Twitter Stock Fraudster Suit.” The article discusses the court’s denial of reconsideration regarding plaintiffs’ rejected bid for class certification in a suit against Gregory W. Gray, a convicted promoter of limited partnership offerings of pre-IPO Twitter securities, who was sued by the SEC and served a prison sentence after pleading guilty to securities fraud and lying to the regulator.

  • Thirty-Two Tarter Krinsky & Drogin Lawyers Named to 2019 Super Lawyers and Rising Stars Lists

    Thirty-two lawyers from Tarter Krinsky & Drogin have been named to the 2019 New York Super Lawyers and Rising Stars lists, a rise in Tarter Krinsky & Drogin attorneys awarded as top lawyers in New York. The annual Super Lawyers list recognizes the top five percent of lawyers in New York for their professional achievements. Lawyers are selected through a process that includes independent research, peer nominations and peer evaluations.

  • Michael Grudberg Quoted in Law 360 Regarding Suit Against Twitter Stock Fraudster

    White Collar and Government Investigations partner Michael Grudberg is quoted in Law 360’s article, “Investors Denied Cert. In Suit Against Twitter Stock Fraudster,” which discusses a suit against Gregory W. Gray, a convicted promoter of limited partnership offerings of pre-IPO Twitter securities, who was sued by the SEC and served a prison sentence after pleading guilty to securities fraud and lying to the regulator. The article summarizes the court’s rejection of an effort by plaintiffs to certify a class action against Michael’s client.

  • The New York Law Journal Reports on Recent Arrival of Veteran Litigator and Former SEC Enforcement Attorney Robert Heim

    The New York Law Journal’s Lawyers on the Move section reported on the recent arrival of veteran litigator and former SEC enforcement attorney Robert Heim.

    Robert joined the firm’s Litigation, Securities and Financial Services Litigation, White Collar & Government Investigations and Corporate and Securities practices, continuing its strategic growth and strengthening its client offerings. The article notes that he was formerly an assistant regional director of the U.S. Securities and Exchange Commission.

  • Robert Heim Quoted in Reuters on SCOTUS Decision that Safeguards Investor-Protection Laws

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Reuters article, “U.S. Supreme Court Backs SEC Safeguards Investor-Protection Laws.” The article discusses the Supreme Court’s ruling against a New York investment banker that the Securities and Exchange Commission banned from the securities industry.

  • Robert Heim Quoted in The Wall Street Journal on SCOTUS Decision that Upholds SEC Sanctions on Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal article, “Supreme Court Sides with SEC in Broker False Statements Case.”

  • Robert Heim Quoted in Financial Times on SCOTUS Backing SEC Decision to Sanction Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in the Financial Times article, “U.S. Supreme Court Backs SEC Over Misleading Statements.”

  • Thirty Tarter Krinsky & Drogin Lawyers Named to 2018 Super Lawyers and Rising Stars Lists

    Thirty lawyers from Tarter Krinsky & Drogin have been named to the 2018 New York Super Lawyers and Rising Stars lists as top lawyers in New York. The annual Super Lawyers list recognizes the top five percent of lawyers in New York for their professional achievements. Lawyers are selected through a process that includes independent research, peer nominations and peer evaluations.

  • Michael Grudberg Featured in Two Lawyers Walk Into a Bar Podcast

    White Collar and Government Investigations partner Michael Grudberg recently participated in the Two Lawyers Walk Into a Bar podcast series. As part of the podcast, the hosts, Lee Bergstein and Cooper Knowlton, have a conversation with prominent members of the legal community about their paths to success. In the interview, Michael spoke about his time at Yale Law School, his experience serving as a law clerk and how he selected the right firm to join after law school. He then walked the hosts through his career path.

  • The Work of Tarter Krinsky & Drogin’s White Collar & Government Investigations Team Noted in Law360

    White Collar & Government Investigations partner Michael Grudberg was noted for representing Utah-based heir-tracking company Kemp & Associates in the Law360 article, "Heir-Tracking Co. Urges 10th Circuit To Refuse Antitrust Case."

  • Robert Heim Featured on Bloomberg Radio About Federal Case Against Senator Menendez

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was interviewed on air at Bloomberg Radio about the pending criminal case against Senator Robert Menendez.

  • 28 Tarter Krinsky & Drogin Lawyers Named to 2017 New York Super Lawyers and Rising Stars Lists

    This year, 28 lawyers from Tarter Krinsky & Drogin have been named to the 2017 New York Super Lawyers and Rising Stars lists as top lawyers in the state. The annual Super Lawyers list recognizes the top five percent of lawyers in New York for their professional achievements. Attorneys are selected through a process that includes independent research, peer nominations and peer evaluations.

    Four Tarter Krinsky & Drogin attorneys were ranked on the Rising Stars list, which recognizes the top 2.5 percent of lawyers who either are under the age of 40 or have been in practice for 10 years or less.

  • Robert Heim Featured on Bloomberg Radio About the Impact of SCOTUS Decision on Menendez Case

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was interviewed on air at Bloomberg Radio about how the Supreme Court’s decision in McDonnel v. United States could impact the federal criminal prosecution of Senator Robert Menendez. Robert explained that the 2016 unanimous ruling in McDonnel v. United States may affect Menendez’s criminal prosecution for bribery, which was elaborated and explained in the previous ruling.

  • The New York Business Journal Highlights Arrival of Michael Grudberg and Launch of White Collar & Government Investigations Practice

    The New York Business Journal featured a story about the arrival of Michael Grudberg to Tarter Krinsky & Drogin.

  • Tarter Krinsky & Drogin Launches White Collar & Government Investigations Practice With Addition of Prominent Partner Michael Grudberg

    Tarter Krinsky & Drogin is pleased to announce the formation of its White Collar & Government Investigations practice.

  • Robert Heim Quoted in Law 360 on SEC Lifetime Ban of Broker

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Law 360 article, “SEC Told Broker’s Lifetime Ban Not Warranted Under Janus.” The article discusses SEC decision to bar an investment banker from the securities industry for life over misleading emails he sent to prospective investors.

  • Robert Heim Quoted in The Wall Street Journal on Direction of the SEC

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal article, “What Can Help Restore Investor Trust? Maybe the SEC.” The article discusses the potential for the agency, in pushing for more transparency and accountability within the securities industry. This new potential arises from the nomination of former prosecutor Mary Jo White as SEC chairman.

  • Robert Heim Quoted in Bloomberg on SEC Claims Against Texas Day Trader

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in Bloomberg article, “Texas Day Trader Sued by SEC Over High-Frequency Trading Claims.” The article discusses the SEC claim that a Texas day trader illegally raised more than $6 million from the Houston-area Lebanese community by making false promises that his algorithmic trading program would generate 30 percent returns.

  • Robert Heim Featured on Fox News About MF Global Letter to Congressman

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert commented on the letter sent by the collapsed global financial derivatives brokerage firm, Man Global to Congressman Jon Corzine, asking for assistance after the bankruptcy of the financial institution.

  • Robert Heim Featured on Fox News About MF Global Bankruptcy

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the collapse of the Man Financial, a former global commodities brokerage firm. Robert also explained the perceived liquidity problems and large fined that led to the firm’s bankruptcy.

  • Robert Heim Featured on CNBC About MF Global Collapse

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC. In the segment, Robert discussed the bankruptcy of the global financial derivatives brokerage firm, Man Global and the financial problems leading up to the collapse.

  • Robert Heim Tests Your Knowledge of Insider Tips in CNN Interactive Quiz

    Think you would recognize an insider tip if you heard one? It's not always so black and white, as former SEC prosecutor Robert Heim shows in the following scenarios. Test your knowledge on what makes the sharing of certain information illegal.

  • Robert Heim Authors New York Post Column on Insider Trading Enforcement

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim authored a guest column in the New York Post. The article discusses the Justice Department’s recent insider trading enforcement initiatives.

  • Robert Heim Quoted in The New York Times on Insider Trading Claim Settlement

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The New York Times article, “Ex-Fund Manager Settles Insider Trading Claims.” The article discusses the $600,000 settlement of federal insider trading charges between a former hedge fund manager, Stephen Goldfield and a pharmaceutical executive. The charges included making $13.98 million in illegal profits by trading in MedImmune securities before AstraZeneca agreed to acquire the company for more than $15 billion.

  • Robert Heim Featured on CBS Evening News with Katie Couric About Goldman Sachs Allegations

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal analyst on CBS Evening News with Katie Couric. In the segment, Robert discussed the SEC’s enforcement action against Goldman Sachs, alleging that the investment bank defrauded investors by failing to disclose conflicts of interest in certain mortgage investments it sold.

  • Robert Heim Quoted in The Wall Street Journal on SEC Complaint Against Prime Capital

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim was quoted in The Wall Street Journal, “An Annuities Firm is Accused by SEC.” The article discusses the administrative complaint made by the SEC against New York-based Prime Capital Services Inc., accusing the firm of scheming senior citizens into purchasing unsuitable variable annuities. These variable annuities were allegedly intentionally misrepresented by the PCS representatives over free-lunch seminars that the senior citizens attended.

  • Robert Heim Featured on Fox News About Madoff Prosecution

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal analyst on Fox News. In the segment, Robert analyzed the allegations made against the former financial advisor, Bernie Madoff. Robert also explained the court proceedings and potential outcomes of the Madoff case.

  • Robert Heim Featured on Fox News About Harry Markopolos

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert commented on Harry Markopolos’s congressional testimony in the wake of the Bernard Madoff scandal. Robert also explained the significance of the congressional hearing on the investigation of Madoff’s alleged $50 billion Ponzi scheme.

  • Robert Heim Featured on Fox News About Madoff

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the SEC’s failure to detect Bernard Madoff’s alleged $50 billion Ponzi scheme. Robert also explained the regulatory authority of the Securities and Exchange Commission and the administrative action taken.

  • Robert Heim Featured on Fox News About Spitzer Investigation

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Fox News. In the segment, Robert discussed the allegations against former New York Governor Eliot Spitzer. Robert also explained the federal investigation of the former New York Governor and potential outcomes.

  • Robert Heim Featured on Bloomberg TV About CFTC Enforcement Against Hedge Fund

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on Bloomberg TV. In the segment, Robert discussed the allegations against Hedge Fund Amaranth and its former head energy trader, Brian Hunter. He also explained the enforcement action made by the Commodity Futures Trading Commission.

  • Robert Heim Featured on CNBC About SEC Enforcement Against Insider Traders

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC’s “On the Money.” In the segment, Robert discussed the SEC’s recent enforcement actions against insider traders.

  • Robert Heim Featured on CNBC About SEC Enforcement Against Former Apple Executives

    White Collar and Government Investigations, Securities & Financial Services Litigation partner Robert Heim appeared as a guest legal commentator on CNBC’s “Closing Bell” with Maria Bartiromo, discussing the SEC’s enforcement action against former Apple executives. In the segment, Robert explained the SEC’s accusations of stock options backdating and the subsequent administrative action taken against the former Apple Computer executives.

  • Overview of U.S. Securities Laws Applicable to Broker-Dealers
    August 12, 2019

    The Securities Exchange Act of 1934 (Exchange Act) is the principal law that regulates broker-dealers in the United States. The Exchange Act governs transactions in securities markets and regulates persons who effect such transactions. The individual states also regulate broker-dealer activities within their borders under state securities or “blue sky” laws.

  • How to Win an Insider Trading Case
    August 5, 2019

    A charge of insider trading can have serious criminal and civil consequences for the accused. In fact, frequently, the accused will face parallel investigations by both the U.S. Attorney’s Office and the U.S. Securities and Exchange Commission. In addition, local state authorities are increasingly pursuing securities fraud prosecutions, including insider trading cases. A knowledgeable defense attorney can make a difference in an insider trading case. This article will review both the legal aspects of an insider trading case as well as the techniques investigators use to uncover and investigate insider trading.

  • Michael Grudberg Authors New York Law Journal Article on the Ninth Circuit’s Recent Decision Regarding Glassdoor
    April 3, 2018

    White Collar and Government Investigations partner Michael Grudberg authored a New York Law Journal article, “The Ninth Circuit’s ‘Glassdoor’ Decision: Grand Juries and Anonymous Speech.” In the article, Michael explored the implications of an appeal in the Ninth Circuit regarding an order compelling job and recruiting web site Glassdoor to disclose identifying information of users posting anonymous comments about a company subject to grand jury investigation.


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