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Freiberger Haber LLP
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Regulatory Defense and Investigations

Regulatory Defense

In today’s regulatory environment, matters that begin as routine and informal inquiries by government regulators, such as the Securities and Exchange Commission and the Financial Industry Regulatory Authority, often result in administrative and enforcement proceedings. Freiberger Haber LLP provides representation to business entities and their officers, directors and managers involved in inquiries, investigations, examinations, and administrative and enforcement proceedings. Our law firm strives to provide counsel that results in the pre-emption of investigations, reversal of preliminary recommendations to commence regulatory defense and investigations proceedings, and, when appropriate, agreements to settle to avoid costly litigation and adverse publicity.


The need to perform an internal investigation can arise under various circumstances. Sometimes the defense of regulatory investigations and enforcement activity requires the business entity to run a parallel investigation to ascertain the facts and circumstances relevant to the inquiry or enforcement proceeding. Other times, an investigation is needed for prophylactic purposes to identify and resolve issues before regulatory scrutiny begins, such as where the entity is required to self-report wrongdoing or to confirm the proper functioning of internal control systems and procedures. Still other times, an internal investigation is necessary to address reports of wrongdoing by whistleblowers within the business entity. Regardless of the circumstance, when the need for an investigation arises, the business entity needs to respond in an appropriate manner.

An effective investigation requires not only a detailed and thorough understanding of the basis for the allegations but also an understanding of the legal and factual issues involved. The attorneys at Freiberger Haber LLP will conduct their investigation with these principles in mind and will do so without reaching any conclusions until the investigation is completed.

When necessary, our lawyers will retain experts and consultants, such as forensic accountants, computer experts, and economists, to assist in the investigation, especially when the allegations involve complex matters. At all times, we will strive to conduct its investigation cost-effectively.

Scope of Regulatory Defense and Investigations

The expertise of regulatory defense and investigations attorneys extends to a wide range of regulatory regimes, including:

  • Antitrust and Competition Law: Ensuring compliance with antitrust laws and addressing allegations of anticompetitive practices, such as price fixing, bid rigging, and market allocation.

  • Securities Law: Defending against securities fraud allegations, conducting internal investigations, and advising on insider trading, mergers and acquisitions, and corporate governance matters.

  • Financial Regulation: Navigating complex financial regulations, including those governing banks, insurance companies, investment funds, and securities firms.

  • Healthcare Regulation: Ensuring compliance with healthcare laws and regulations, such as those governing patient privacy, data security, and clinical trials.

  • Environmental Regulation: Advising on environmental compliance, conducting environmental assessments, and responding to environmental enforcement actions

Preventive Measures and Proactive Compliance

Regulatory defense and investigations extend beyond reactive measures and encompass proactive strategies to minimize risk and foster compliance. These preventive measures include:

  • Regulatory Compliance Assessments: Conducting comprehensive assessments of regulatory obligations and identifying potential areas of non-compliance.

  • Internal Investigations: Investigating allegations of misconduct, identifying root causes, and implementing corrective measures.

  • Training and Awareness Programs: Educating employees about regulatory requirements and fostering a culture of compliance.

  • Third-Party Risk Management: Assessing and managing risks associated with third-party vendors and contractors.

Defending Against Regulatory Investigations

When faced with a regulatory investigation, experienced regulatory defense attorneys provide comprehensive representation, including:

  • Preparation and Strategy: Advising on the nature and scope of the investigation, formulating legal strategies, and managing communications with regulators.

  • Document Preservation and Interview Coordination: Assisting in the identification, preservation, and collection of relevant documents and coordinating with employees for interviews.

  • Representation at Meetings and Interviews: Representing clients at meetings with regulators and conducting interviews with employees.

  • Negotiation and Settlement: Negotiating with regulators to reach appropriate settlements or resolve investigations through alternative dispute resolution mechanisms.

  • Court Representation: Representing clients in administrative proceedings, grand jury investigations, and criminal trials.

Contact our New York Regulatory Defense & Investigations Attorneys 

Regardless of the reason for representation, Freiberger Haber LLP can provide your organization advice in times of regulatory scrutiny and the independence needed to investigate potential or actual misconduct. To obtain more information about the services our attorneys can provide, contact us.

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