Areas of Practice

White Collar Criminal Defense

  • Federal Bureau of Investigation

  • Internal Revenue Service

  • Department of Labor

  • Department of Housing and Urban Development

  • Securities and Exchange Commission

  • Commodity Futures Trading Commission

  • Environmental Protection Agency

  • Department of Health and Human Services

  • United States Department of Transportation

  • Occupational Safety and Health Administration

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 white collar cases include:

  • Represented 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.

  • Represented at trial 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.”

  • Represented the president of a national corporation in which the president was charged with wire fraud, mail fraud and making false statements to OSHA. After Jim filed a Motion to Suppress, the government dismissed all charges against Jim’s client.

  • Represented 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.

  • Represented a national bank in a fraud investigation by the Manhattan District Attorney’s Office. No charges were brought against the bank.

  • Represented 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.

  • Represented 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.

  • Represented 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.

  • Represented an individual in a tax evasion and false statement prosecution brought by the United States Attorney’s Office for the District of Connecticut.

  • Represented 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

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.

White collar victim matters include:

  • Represented a corporation victimized by a rogue employee who embezzled over $400,000. Over half of the losses were recovered

  • Represented a victim of an information security crime and recovered stolen funds from frozen, overseas bank account

  • Represented a victim in a wire fraud prosecution in the United States District Court for the Eastern District of Michigan

Jim also represents witnesses in investigations of corporations and individual matters, responding to grand jury and other government subpoenas, and preparing those witnesses for all interactions with the state and federal government.

Regulatory Matters

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 as well as investigations conducted by the Commodities Futures Trading Commission. Jim’s representations include:

  • Represented an executive of Bernard L. Madoff Investment Securities in civil and administrative prosecutions brought by the SEC.

  • Represented a target in a CFTC investigation of “spoofing.” No charges were brought against Jim’s client.

  • Represented the assistant comptroller of a public company in an SEC investigation of accounting fraud.

  • Represented an individual in an SEC investigation of insider trading.

  • Represented an individual in an SEC investigation of market manipulation.

Securities and Commodities Investigations

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

Jim represents individuals and witnesses in administrative actions before the Securities and Exchange Commission and the Commodity Futures Trading Commission.

Jim represents families who have come under the scrutiny of the Connecticut Department of Children and Families.

ACAMS

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 crackdown on individuals and financial institutions in money laundering investigations.

Internal Corporate Investigations

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 internal investigative work includes:

  • Represented 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

  • Represented 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