Regulatory investigations are among the most consequential challenges a financial professional, executive, or company can face. An inquiry from the SEC, FINRA, the CFTC, or a banking regulator can quickly escalate — into formal proceedings, industry bars, civil penalties, or criminal referrals. How a target responds from the very first contact can shape the outcome of everything that follows.
Ford O’Brien Landy LLP has deep experience representing individuals and entities at every stage of the regulatory process — from initial inquiries and document requests through formal investigations, administrative hearings, and parallel criminal proceedings. Our attorneys include former federal prosecutors and regulatory officials who understand how these agencies operate, what they are looking for, and how to engage with them effectively on our clients’ behalf.
Regulatory matters rarely exist in isolation. A civil enforcement action may run alongside a criminal investigation; a FINRA proceeding may overlap with SEC scrutiny; a regulatory settlement can have collateral consequences for pending litigation. We develop strategies that account for the full landscape, protecting our clients’ interests across every front. The regulatory matters we handle include:
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Contact experienced counsel right away, before responding to the government or producing any documents. Counsel can determine what the request covers and why it may have been issued, ensure relevant records are preserved, and assess potential exposure. In many cases, counsel can also negotiate the scope and timing of a subpoena, protect privileged materials, and open a productive line of communication with the investigating agency. Individuals, including executives and employees of a company under investigation, should be aware that their interests may differ from the company’s and may warrant separate counsel. Ford O’Brien Landy represents both businesses and individuals in these matters, protecting their interests from the first day of an inquiry while positioning them for the best possible resolution.
Regulatory investigations may be conducted by federal agencies such as the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the Department of Justice, as well as self-regulatory organizations like FINRA. At the state level, the New York Attorney General has broad investigative authority under the Martin Act, and the New York State Department of Financial Services oversees banks, insurers, and other financial institutions operating in the state. Other federal, state, and local agencies may also investigate, depending on the industry and the conduct at issue. The Firm represents clients before regulators at every level, often in matters involving more than one agency at once.
Local regulators can be just as consequential. In New York City, the commercial waste industry is overseen by multiple agencies, including the Business Integrity Commission (BIC), which licenses and investigates waste haulers and related businesses, and the Department of Sanitation (DSNY), which oversees the City’s Commercial Waste Zones program, among other matters. Their decisions can determine whether a company may continue operating in the City. Noah Genel, a partner and Chair of the Firm’s State Regulatory Compliance and Litigation practice, previously served as BIC’s Commissioner and Chair, and before that as its First Deputy Commissioner and General Counsel. Drawing on that experience, Ford O’Brien Landy regularly represents waste industry businesses and individuals before BIC, DSNY, and other agencies in investigations, licensing and compliance matters, and related litigation.
Yes. Regulatory and civil investigations can (and often do) run in parallel with criminal investigations, and regulators may share information with or refer matters to prosecutors. Testimony given or documents produced in a regulatory matter can later be used in a criminal case, which is why potential criminal exposure must be considered from the very beginning. Our attorneys include former federal and state prosecutors who understand how civil and criminal authorities coordinate, and we develop strategies that account for both from the outset.
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