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Enforcement Defense

 

Shipkevich defends clients with representation in enforcement actions filed by the CFTC, NFA, and other domestic and offshore regulators. We represent corporations and individuals in federal and state criminal proceedings, at all levels of associated regulatory investigations. We litigate before federal and state courts as well as before the AAA, ICDR, NFA and arbitration forums on matters related to commodities, foreign exchange, swaps, and intellectual property law. Our attorneys regularly represent hedge funds, traders, forex firms, broker-dealers, and investment advisors in actions, lawsuits, and enforcement actions. The firm commonly achieves favorable settlements while minimizing client time and expense.

 

Shipkevich’s enforcement defense services include:

  • Represent those accused of fraud or trading abuses, including insider trading, accounting and financial disclosure fraud, hedge fund fraud, market manipulation and other trading abuses, investment advisor fraud, fixed income sales and trading practices;
  • Advise public companies, financial service firms, and financial institutions on commodities- and derivatives-related issues;
  • Defense against NFA before the Business Conduct Committee (BCC) actions, including failure to supervise, anti-money laundering violations, inadequate policies and procedures, failure to observe high standards of commercial honor, and sales practice violations;
  • Assess broker-dealer operations, including research analyst conflicts of interest and disclosures to certain trading and clearing brokers;
  • Defend those accused of violating the Foreign Corrupt Practices Act (FCPA) in connection with payments or reimbursements to foreign officials, book and record keeping controls, and maintaining due diligence;
  • Litigate and defend domestic and offshore broker-dealers and/or investment advisors accused of violating domestic compliance;
  • Handle cases at all trial and appellate levels, in arbitrations, mediations, and before government and regulatory bodies;
  • Advise corporations on establishment of business ethics compliance programs and provide counsel on compliance concerns.