Our focus is on complex white collar defense, SEC litigation, regulatory compliance, trial work, government and internal corporate investigations, and complex commercial disputes. We also represent victims of white collar crimes.
- White Collar Criminal Defense
- Internal Corporate Investigations
- Securities Litigation
- Regulatory Matters
- Victim and Witness Representation
- Complex Commercial Litigation
- Guardian Ad Litem
White Collar Criminal Defense
- Federal Bureau of Investigation
- Internal Revenue Service
- Department of Labor
- Department of Housing and Urban Development
- Securities and Exchange Commission
- Environmental Protection Agency
- Department of Health and Human Services
Having investigated and prosecuted numerous cases as a federal prosecutor as well as having defended individuals and entities in many complex investigations, Jim has unique insight from all sides into the manner in which complex cases are investigated and prosecuted. He anticipates and prepares his clients for the many different situations that arise, oftentimes on a moment’s notice, in virtually every complex investigation. Jim understands that the mere fact of the investigation can be life-altering and every decision is made with the long-term goal of protecting the best interests of the client.
Jim’s recent white collar cases include:
- Representing an executive of Bernard L. Madoff Investment Securities in the investigation and prosecution brought by the United States Attorney’s Office for the Southern District of New York involving the Federal Bureau of Investigation, the Internal Revenue Service, the Department of Labor and the Securities and Exchange Commission in the largest Ponzi scheme in United States history
- The defense at trial of a land developer prosecuted by the federal government in a complex mortgage fraud trial in which every other defendant pleaded guilty and Jim’s client was acquitted of 7 of 9 counts, including the most serious charges of bank and mail fraud. Jim’s cross-examination of the government’s main cooperator was described in a filing by the government as powerful
- Representing a defendant in a Ponzi scheme in what the Department of Justice described as “the largest white-collar prosecution ever brought by” the federal government in Connecticut
- Representing a national bank in a fraud investigation by the Manhattan District Attorney’s Office. No charges were brought against the bank
- Representing a defendant in a multi-million dollar abusive tax shelter and tax evasion prosecution by the United States Attorney’s Office for the Southern District of New York
- Representing an individual in a multi-million dollar money laundering, conspiracy and wire fraud prosecution brought by the United States Attorney’s Office for the District of New Jersey
- Representing a defendant in a multi-million dollar life insurance fraud investigation and prosecution brought by the United States Attorney’s Office for the District of Connecticut
- Representing an individual in a tax evasion and false statement prosecution brought by the United States Attorney’s Office for the District of Connecticut
- Representing a west coast law firm in a grand jury investigation by the United States Attorney’s Office in the District of Rhode Island
Victim and Witness Representation
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Jim represents individuals and entities who are victims of white collar crime. In those cases, working with the top private investigators in the State, Jim works to recover as many assets as possible for his clients and, when those assets are only partially recovered, to secure a judicial finding that allows for the most advantageous tax treatment of fraud losses.
Recent white collar victim representations include:
- Representing a corporation victimized by a rogue employee who embezzled over $400,000. Over half of the losses were recovered
- Representing a victim in a wire fraud prosecution in the United States District Court for the Eastern District of Michigan
Jim represents witnesses in investigations of large and small corporations, responding to government subpoenas, and preparing those witnesses for all interactions with the state and federal government
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Jim has represented targets of the Securities and Exchange Commission in insider trading cases, broker-dealer investigations and prosecutions, accounting irregularities and earnings restatement investigations. His most recent representations include:
- Representing an executive of Bernard L. Madoff Investment Securities in civil and administrative prosecutions brought by the SEC
- Representing the assistant comptroller of a public company in an SEC investigation of accounting fraud
- Representing an individual in an SEC investigation of insider trading
- Representing an individual in an SEC investigation of market manipulation
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Jim also represents professionals accused of wrongdoing in connection with their professional licenses before various state regulatory boards, including the State Board of Medicine, the State Board of Veterinary Medicine and the State Board of Accountancy.
In addition, Jim has defended persons and entities targeted by state regulatory bodies, including:
- Connecticut Department of Banking
- Connecticut State Department of Revenue Services
- Connecticut State Department of Environmental Protection
He represents individuals and witnesses in administrative actions before the Securities and Exchange Commission.
Jim represents families who have come under the scrutiny of the Connecticut Department of Children and Families.
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Jim was a Certified Anti-Money Laundering Specialist certified by the Association of Certified Anti-Money Laundering Specialists (ACAMS). His training and experience in this area has proved critical in the money laundering cases in which he is involved and particularly in light of the Department of Justice’s recent crackdown on individuals and financial institutions in money laundering investigations.
Internal Corporate Investigations
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Jim conducts internal investigations for corporations and banks involved in white collar investigations as well as for those corporations accused of wrongdoing in commercial disputes.
Jim works with a team of private investigators and forensic accountants who assist him in conducting internal investigations. These typically include interviewing witnesses, reviewing financial documents and preparing, writing and presenting investigative reports to corporate executives and, when necessary, presenting those reports to federal and state investigators
Jim’s recent internal investigative work includes:
- Representing a multi-national company in an investigation of employee misconduct. The report was presented to the Federal Bureau of Investigation and the United States Attorney’s Office and resulted in the prosecution and imprisonment of the employee and the recovery of over 50% of the funds stolen
- Representing the President and Chief Executive Officer of a corporation accused of wrongdoing in connection with the sale of the company and its subsidiaries. The investigation cleared the executive of all wrongdoing
Complex Commercial Litigation
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Jim also represents individuals and corporations in complex business disputes arising out of allegations of fraud, unfair trade practices, and civil Racketeering Influence and Corrupt Organizations claims.
Jim’s recent civil and commercial litigation includes:
- Representing the President and Chief Executive Officer of a corporation in a civil RICO case brought in the United States District Court for the Southern District of New York
- Representing an accountant accused of malfeasance in connection with his employment. Criminal charges against the employee were dismissed and the employee recovered a civil judgment against the company and its officers
Guardian Ad Litem
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As a federal prosecutor in the United States Attorney’s Office, Jim prosecuted perpetrators of crimes against children, including child pornography crimes and cases in which adults traveled over state lines to engage in illegal sexual activities with children.
As a result of his experiences working with child victims of crime, Jim has focused his efforts to help children in difficult situations. Jim is certified by the State of Connecticut as a Guardian Ad Litem and Attorney for Minor Child in abuse, neglect and domestic matters.