White Collar, Regulatory Defense, and Investigations

Moore & Van Allen’s White Collar, Regulatory Defense, and Investigations team includes nearly two-dozen attorneys serving clients in some of the most heavily regulated and scrutinized industries in the U.S. and abroad. With government lawyers and attorneys with significant regulatory experience in the United States and abroad, we understand the complex inner workings, nuances and intricacies of numerous government agencies across the world.

Global High-Stakes Experience

Multinational Fortune 100 companies entrust us with their most complex, high-value matters. In addition, we have  represented clients in high-stakes domestic negotiations, investigations, and/or disputes involving the SEC, DOJ, CFTC, HUD, USDA,  EPA, OIG, DOL, CFPB, FERC, Congress, various U.S. Attorneys’ Offices, more than thirty state attorney general’s offices, the IRS, the FBI, and other regulatory agencies in the United States.  Our experience and contacts within these governmental entities enable us to effectively navigate high-stakes negotiations with the utmost professional judgment. 

Our engagements often cross numerous borders—including those in Europe, Asia, Latin America and South America.  Our team also has experience representing clients in matters involving foreign regulatory bodies including Banco Central de la República Argentina (the Central Bank of Argentina), the U.K. Financial Conduct Authority, the Monetary Authority of Singapore, and the Comissão de Valores Mobiliários (the Brazilian Securities Commission), to name a few.  Our team is also highly proficient in leading thorough, credible and cost-efficient confidential, internal investigations - often times across agencies, countries and continents. We effectively lead these multinational defense and investigatory engagements by working closely with in-country counsel to capitalize on their knowledge and reduce costs, while simultaneously leveraging U.S. style defense strategies. 

We have  represented clients in high-stakes domestic negotiations, investigations, and/or disputes involving the SEC, DOJ, CFTC, HUD, USDA,  EPA, OIG, DOL, CFPB, FERC, Congress, various U.S. Attorneys’ Offices, more than thirty state attorney general’s offices, the IRS, the FBI, and other regulatory agencies in the United States.  Our experience and contacts within these governmental entities enable us to effectively navigate high-stakes negotiations with the utmost professional judgment. 

Strategic Integration of Commercial Litigation Experience

As white-collar and regulatory proceedings often run parallel with civil litigation proceedings, each of our attorneys has significant commercial litigation experience. We purposefully combine these skillsets to ensure a more agile, business approach, enabling us to efficiently manage matters without needlessly large, bloated teams and to aggressively pursue litigation when necessary. We apply this no-nonsense business approach to our preventive counsel, helping clients avoid future violations.

Wide Range of Experience

We have successfully handled matters involving alleged or suspected:

• Accounting irregularities
• Antitrust
• Conspiracy
• Environmental crimes
• Financial fraud
• Foreign Corrupt Practice Act
• Government contracting
• Immigration
• Market manipulation
• Medicare fraud
• Money laundering
• Public corruption and campaign finance
• Sarbanes-Oxley violations
• Securities fraud
• Tax fraud
• Whistleblower/Qui Tam claims

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Relevant Representative team engagements include:

• Represented Fortune 100 institutions in international inquiries involving governmental entities in the European Union, as well as in Singapore, Thailand, Hong Kong, Argentina, Brazil, Chile, Uruguay, and Canada. 
• Represented Fortune 100 institutions in domestic inquiries by the SEC, CFTC, DOJ, U.S. Attorney’s Offices, and more than thirty state attorneys general.
• Defended at trial and on appeal one of the first anti-terrorism cases tried in the United States after the tragedy of September 11th.
• Defended a national financial institution in conjunction with a congressional inquiry into its student lending practices.
• Represented an international financial institution in connection with an internal investigation into its merger with another international financial institution.
• Defended at federal trial an individual charged with procurement fraud, wire fraud, and major fraud. After the jury deadlocked at 10-2 in favor of acquittal and a declared mistrial, the U.S. Department of Justice and U.S. Attorney's Office for the District of Columbia voluntarily dismissed all charges against our client with prejudice.
• Represented taxpayers in disputes with the IRS or state department of revenue.
• Defended a Fortune 100 company in Sarbanes-Oxley whistleblower hearings (resulting in judgment in favor of our client on all claims), as well as in subsequent appeals pending before the Administrative Law Board.
• Advised clients with operations on several continents regarding compliance with the Foreign Corrupt Practices Act.

news

• MVA White Collar Defense, Investigations, and Regulatory Advice Blog: New Treasury Department Regulations Modify Mandatory Filing Requirements for Critical Technology Businesses
• Jim McLoughlin and Bill Butler’s article published by Bloomberg Law
• MVA White Collar Defense, Investigations, and Regulatory Advice Blog: Treasury Department Publishes Interim Final Rule Implementing CFIUS Filing Fees
• BEWARE COMPROMISED BUSINESS EMAIL . . . AND THE LITIGATION THAT FOLLOWS

Events

• MVA Attorneys to Present at Western North Carolina Bankruptcy Seminar
• Fagg Moderates Panel at NCBA 2015 White Collar Criminal Defense Seminar
• Fagg Moderates Panel on Government Investigations and Prosecutions in the Financial Services Industry
• Fagg Serves on Financial Services CLE Panel

Publications

• New Treasury Department Regulations Modify Mandatory Filing Requirements for Critical Technology Businesses
  June 2020, MVA White Collar Defense, Investigations, and Regulatory Advice Blog

  Charlotte White Collar, Regulatory Defense, and Investigations Member Frank Schall and Associate Elena Mitchell’s blog article titled, “New Treasury Department Regulations Modify Mandatory Filing Requirements for Critical Technology Businesses” was published on June 17.

• When Someone Shows You Who They Are, Believe Them the First Time:* What a Blue Wave in the House Likely Means for Financial Institutions
  November 2018, MVA White Collar Defense, Investigations, and Regulatory Advice Blog