practice areas

White Collar, investigations & Regulatory Defense

The firm’s white collar, investigations, and regulatory defense practice is a national practice based in New York and Washington D.C. led by of a team of Chambers, Benchmark Litigation and Lawdragon ranked first chair trial lawyers.

We defend individuals, companies, and institutions in criminal prosecutions, government investigations, and regulatory enforcement actions, including those brought by the Department of Justice, U.S. Attorney’s Offices across the country, the Securities and Exchange Commission (SEC), FINRA, Congress and state attorney generals. Our areas of expertise include defending allegations of securities fraud, business fraud, government procurement fraud, public corruption, health care fraud, tax fraud, fraud related to crypto, insider trading, the antitrust laws, national security laws, money laundering, and asset forfeiture.

We also regularly conduct independent investigations on behalf of companies and Boards of Directors, and represent employees and directors in such investigation. We are known for our discretion and targeted approach.

The lawyers in HSW's white collar, investigations, and regulatory defense practice have served as federal and state public defenders. Chambers has ranked HSW’s lawyers and offices in white collar, investigations, and regulatory defense practice.

Barry Pollack, Andrew St. Laurent and Jonathan Harris are all individually ranked by Chambers in White Collar Crime & Government Investigations, and are all ranked as Benchmark Litigation Stars. In addition, Mr. Harris and Mr. Pollack are each included in Lawdragon's ranking of the 500 Leading Lawyers in America. Barry Pollack is a Fellow in the American College of Trial Lawyers, a Fellow in the American Board of Criminal Lawyers, and a past president of the National Association of Criminal Defense Lawyers.

We incorporate a multidisciplinary approach to matters, providing clients expertise in obtaining advancement and indemnification of legal fees and insurance coverage and an in-house forensic psychologist, Dr. Monica Delgado who works with clients and as a part of the case team for client interviews, trials, and jury advice as is ranked by Lawdragon as one of its 100 Global Leaders in Legal Strategy and Consulting for 2025. We assist clients to maintain or regain licenses and memberships in professional organizations and manage employment concerns.

Representative matters include: *

Federal Trials

Defense of a federal antitrust prosecution in Florida of a renowned oncologist, resulting in a mistrial and a no jail time resolution prior to a second trial..
Complete exoneration in a federal antitrust prosecution in Colorado of executives for poultry producers, with a dismissal of the charges against one executive following two trials, each of which ended in a hung jury, and the acquittal of a second executive in a third trial.
Acquittal on all counts of a defense contractor in a federal public corruption prosecution in Virginia.
Acquittal on the primary counts (and a favorable six-month sentence on the remaining count) in the defense of federal fraud prosecution in New York relating to the failed sale of Maxim magazine.
Complete exoneration of a prominent financial advisor in an SEC enforcement action in New York following a multi-year investigation, a month-long federal jury trial and all appeals.
Acquittal on all charges, and the dismissal of an SEC enforcement action, in the defense of a former executive of Enron Corporation on federal securities fraud charges in Texas following a three-month jury trial that ended in a hung jury and a month-long re-trial that resulted in an acquittal on all charges.

Defense of a Federal Trade Commission enforcement action in New York alleging fraud, resulting in a favorable verdict.

Favorable resolutions without trial

Represented Julian Assange, who was charged in the federal court in Virginia with violating the Espionage Act, resulting in a favorable resolution that led to his immediate release from prison in the United Kingdom where he was being detained pending extradition to the United States.
Represented one of the first persons charged in cryptocurrency fraud, obtaining a favorable pre-trial resolution.
Represented of an individual defendant in the Galleon insider trading case in New York, resulting in a no jail time plea.
Represented Fortune 500 manufacturer in resolutions with the Department of Justice and the Securities and Exchange Commission related to corruption in the U.N Oil-for-Food Program.
Represented a former AIG executive in Connecticut who was the target of a criminal investigation, obtaining a non-prosecution agreement and no action by the SEC.

Federal criminal appeals and other post-conviction matters

Retained following the conviction of a government official in a federal criminal public corruption case in Texas, resulting in a post-trial motion vacating the convictions and obtaining a new trial, a decision we successfully defended on appeal.
Retained following the conviction of a CPA in federal court in Arizona for embezzling from an insurance company in an alleged scheme to benefit a United States congressman, resulting in a reversal of the conviction by the federal appeals court in San Francisco and dismissal of the case.
Obtained vacatur of federal fraud sentence on appeal on the basis that the sentence violated the United States Sentencing Guidelines.
Obtained reversal of denial of habeas relief on appeal on the basis that the district court failed to hold necessary evidentiary hearing.
On appeals to district court and court of appeals, obtained and preserved reversal of bankruptcy order directing production of materials in violation of client’s Fifth Amendment rights.

State criminal trials and other state matters

Ongoing representation of owner and chief executive officer of healthcare agency in investigation by New York State Attorney General’s Office Medicaid Fraud Unit.
Obtained an acquittal on all counts after a jury trial in the criminal sexual assault prosecution in Washington D.C. of a prominent criminal defense lawyer

Obtained non-criminal disposition for a children's healthcare company in a Fraud prosecution by New York State Controller and Bronx County District Attorney’s Office.
Represented officers in Executive Law 63(12) action by New York State Attorney General’s Office, resulting in a non-criminal disposition.

Government, congressional, and regulatory investigations

Ongoing representation of four bank executives in investigation by FDIC, SIPC and the Department of Justice.
Represented numerous registered persons in FINRA and SEC enforcement -investigations and actions.
Represented executives of oil services company in Foreign Corrupt Practices Act investigation, resulting in corporate resolution with the Manhattan District Attorney’s Office and no action taken against the individual executives.

Represented members of Congress in House Ethics Committee investigations.
Represented congressional staff member in the Jack Abramoff scandal.

Significant pro bono representations

Obtained writ of actual innocence and compensation for man wrongfully convicted of murder in Baltimore who had served 25 years in prison.
Representation of the Chief Military Commissions Defense Counsel at Guantanamo Bay, obtaining reversal of an order finding him in contempt and sentencing him to 21 days confinement after he refused to rescind his decision permitting three non-military defense attorneys in a death penalty case to resign for ethical reasons.
Obtained reversal of conviction, dismissal of case, and immediate release from prison for a man wrongfully convicted of murder in Manhattan who had served 18 years in prison.
Representation of a man convicted of a double homicide in Long Island who had served 17 years, resulting in reversal of the convictions, his immediate release from prison, dismissal of the case, and compensation.

* Representative matters include matters handled by HSW attorneys while affiliated with HSW and with prior firms.

TESTIMONIALS

Barry Pollack is an exceptional trial lawyer and a nationally known go-to for complex matters.
— Litigation: White-Collar Crime & Government Investigations respondent, Chambers USA

Jonathan Harris is enormously effective.
— Litigation: White-Collar Crime & Government Investigations respondent, Chambers USA

Andrew St. Laurent is a brilliant legal mind.
— Litigation: White-Collar Crime & Government Investigations respondent, Chambers USA