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White-Collar Defense

Led by a former United States attorney, our white-collar defense group draws on its deep understanding of government investigations and prosecutions to advise individuals and companies in criminal matters. We represent executives and corporations facing high-stakes investigations initiated by U.S. Attorney’s offices, the Criminal and Antitrust Divisions of the U.S. Department of Justice, and state agencies and attorneys general. When resolutions of criminal matters cannot be reached before charges are brought, our attorneys have extensive experience trying criminal cases. We have tried 20 federal criminal trials to verdict and argued numerous federal appeals.  

We assist clients in navigating all stages of white-collar criminal matters. For those that become the subject of criminal inquiries or grand jury proceedings, we have had consistent success helping our clients avoid charges altogether. When clients are subject to criminal indictment, we vigorously represent them during pre-trial proceedings and through trial, sentencing, and appeal. For the last three years, our white-collar defense group has been ranked “Band 1” in Connecticut by Chambers.

We handle white-collar criminal matters for executives and companies across a range of industries, including private equity, energy, pharmaceuticals, transportation, and manufacturing, as well as non-profit institutions. Our team has represented individuals and companies in investigations involving financial fraud, securities fraud, healthcare fraud, tax fraud, embezzlement, obstruction of justice, Foreign Corrupt Practices Act violations, and other alleged criminal conduct. We also regularly counsel corporate clients on risk mitigation and compliance measures. 

Recent notable matters include:

  • Secured acquittal of the CFO of a municipal energy corporation in Connecticut who was accused by a U.S. Attorney’s Office of misappropriation of assets, following a five-week jury trial.
  • Represented a precious metals commodities trader at trial on “spoofing” charges brought by the Criminal Division of the Department of Justice in Chicago.
  • Represented a national transportation company that was the target of a multi-year investigation of disadvantaged business enterprise fraud by a U.S. Attorney’s Office, which successfully resulted in a complete declination.
  • Represented senior executive of foreign subsidiary of U.S. pharmaceutical company in an FCPA investigation, which resulted in no charges being filed.
  • Represented two high-level executives of a mining company in an FCPA investigation, which resulted in no charges being brought against either executive.
  • Represented venture capital firm in federal investigation of suspected violations of controlled substances laws.
  • Represented the co-founder of a foreign import-export company charged by a U.S. Attorney’s Office with smuggling and misbranding.
  • Represented CEO in federal investigation of suspected obstruction of justice.
  • Represented executive of nonprofit in federal investigation of suspected labor violations and immigration fraud.
Our successful track record is attributable, in large part, to our team’s extensive experience as former federal prosecutors. Deirdre Daly served as the U.S. attorney for Connecticut, the state’s chief federal law enforcement officer, overseeing 65 attorneys and all federal prosecutions in the state. Daniel Noble, a former assistant U.S. attorney in the Southern District of New York, co-led that office’s Complex Frauds and Cybercrime Unit. With this deep understanding of how the government approaches white-collar investigations and prosecutions, we are regularly able to achieve successful outcomes for our clients in criminal matters.


The Enforcers Speak: Securities and Cryptocurrency Enforcement Developments at the DOJ and SEC

On June 8, 2022, Finn Dixon & Herling partners Andrew Calamari and Daniel Noble moderated a panel hosted by the Westchester and Southern Connecticut chapter of the Association of Corporate Counsel. Read more

Finn Dixon & Herling Partner Daniel S. Noble to Speak at the 10th Annual White Collar Crime Institute

Finn Dixon & Herling partner Daniel S. Noble will speak at the 10th Annual White Collar Crime Institute on April 27, 2022. Read more

Federal Jury Acquits Finn Dixon & Herling Client of All Charges

A federal jury in the U.S. District Court in New Haven, Connecticut, found Finn Dixon & Herling LLP client Edward Pryor not guilty of all charges. Read more