Regulatory Defense

Kaplan & Company, LLP lawyers have represented some of the country’s leading financial institutions and commercial businesses in complex internal investigations, criminal investigations, and regulatory proceedings.  We have represented clients in meetings with and proceedings before the Department of Justice, the Securities & Exchange Commission, the Federal Trade Commission, the New York, California, and Massachusetts Attorneys General, and numerous other government agencies.  As a result of this experience, Kaplan & Company lawyers have developed expertise in navigating the interplay between investigations and the onslaught of shareholder, investor and counter-party lawsuits that often follow even favorable public resolutions.

Prior to launching Kaplan & Company, some of our lawyers’ representative regulatory defense matters include:

  • Represented Fitch Ratings in regulatory investigations relating to RMBS, CDO, and municipal bond transactions from 2007 through the most recent financial crisis;
  • Represented large startup company in a proceeding against the New York Attorney General, in which a subpoena seeking vast amounts of company’s user data was quashed, as well as in two purported class actions pending in the Southern District of New York;
  • Represented startup taxi e-hail application Hail-o in opposing a stay of implementation of new rules promulgated by New York City Taxi and Limousine Commission before the New York Appellate Division, First Department;
  • Represented and advised startup company Handy on variety of regulatory matters, as well as employment and litigation matters;
  • Represented major Fortune 500 insurance company in investigations in more than 40 states, as well as accounting/reinsurance investigations by the Department of Justice, Securities & Exchange Commission, Internal Revenue Service and nine state regulators—in addition to related derivative and securities lawsuits;
  • Represented and advised a hedge fund in public short campaign to investigate, document and publicize consumer protection and fraud concerns about large multilevel marketing company;
  • Represented a multinational financial institution in connection with a criminal investigation into corruption in international soccer broadcasting; and
  • Represented a Fortune 500 company in connection with Foreign Corrupt Practices Act investigation by the Department of Justice and the Securities & Exchange Commission.