White Collar Criminal Defense
A.J. counsels individuals and businesses in all phases of white-collar criminal investigations and regulatory proceedings from investigation through trial. A.J.’s diverse experience allows him to skillfully represent clients before the Department of Justice, SEC, FINRA, New York Attorney General’s Office, New York County District Attorney’s Office, New York State Department of Financial Services and other prosecutorial and regulatory agencies. He guides clients through every step of the process, from initial contact from the authorities through subpoena, discovery, settlement negotiations and, if necessary, trial.
Throughout his career, including senior roles at Prudential Securities, Deutsche Bank Securities, JPMorgan Chase and Moody’s Corporation, where he was globally responsible for internal and corporate investigations, A.J. has conducted and managed numerous probes involving matters such as financial fraud, insider trading, anti-money laundering, anti-bribery and corruption, churning, suitability, mortgage origination and servicing, and third-party misconduct.
Additionally, A.J. has extensive experience investigating whistleblower allegations involving a wide-range of fraud and corruption. He oversaw the operations of the integrity hot lines at Moody’s and Deutsche Bank Securities, where the investigations he led included allegations of sexual harassment, racial discrimination and age discrimination.
Securities Regulatory Matters
A.J. represents firms and associated persons facing regulatory exams, inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), and the New York Department of Financial Services. A.J. provides advice and representation concerning inquiries into suitability, know your customer (KYC), securities lending, trading violations, FINRA disclosure issues, supervision, and books and records.
General Criminal Defense
A.J. represents clients accused of felonies and misdemeanors in state and federal court. His clients get the benefit of his years of experience as a prosecutor and regulator. A.J. applies this experience to the evaluation of each case. It gives him credibility with government and regulatory attorneys and helps clients navigate collateral issues that often accompany criminal matters. While the goal is to gain a dismissal or a favorable disposition, if a case needs to go to trial, clients gain from A.J.’s mastery of the courtroom. Having tried more than 40 cases to verdict, A.J. knows how best present client’s cases to judges and juries.