Moore & Bruce, LLP represents corporations and individuals in connection with federal and state criminal investigations, as well as enforcement proceedings by regulatory agencies. In addition, the Firm conducts confidential internal investigations to assist management of corporations in determining the scope of potential criminal or other exposure where wrong-doing is suspected.

Our attorneys have formerly served with several government agencies, including the U.S. Department of Justice, the Securities and Exchange Commission and the U.S. Tax Court. The Firm is especially strong in representing persons or entities that are being investigated or charged with violations of federal or state tax or securities laws and federal or state laws regulating financial institutions.

The Firm handles criminal and enforcement matters involving allegations of tax fraud, money laundering and bank and securities fraud. We have experience at every stage of the process including advocating clients’ interests before various federal regulatory and enforcement agencies, representing witnesses, subjects and targets of federal and state grand jury investigations, advising them in responding to grand jury subpoenas to produce documents and provide testimony, negotiating plea agreements, serving as lead and support counsel at trial, contesting and resolving sentencing issues, appeals, and seeking pardons for federal offences.

Inquiries concerning the Firm’s Civil and Criminal Tax Compliance Practice should be directed to Michael C. Durney. Inquiries concerning the Firm’s Securities Law and Financial Institutions Practice should be directed to John Dougherty.

Enforcement Matters Regarding Securities Laws and Financial Institutions

• Representation of major airplane manufacturer in connection with an SEC investigation involving improper foreign payments. Structured compliance program to prevent future violations of Foreign Corrupt Practices Act.
• Representation of principal defendant in connection with the SEC enforcement action regarding Fund of Funds.
• Representation of a portfolio manager of a major mutual fund complex in connection with an SEC investigation regarding stock market manipulation.
• Representation of the chief financial officer of a major mutual fund complex in connection with an SEC investigation regarding improper trading practices.
• Representation of investment banker in connection with investigation by Comptroller of the Currency regarding transactions between a national bank and a foreign central bank. The investigation involved concerns about safety and soundness as well as possible violations of the anti-money laundering provisions of the USA Patriot Act.
• Representation of a major law firm in connection with an SEC investigation regarding a public offering of securities by a bank holding company.

Criminal Tax Matters

• Representation of principal officer of defense contractor on charges of tax fraud.
• Representation of lawyers on charges of false income tax returns and tax fraud.
• Representation of technology firm on charges of tax fraud and money laundering.
• Representation of U.S. citizens in investigation of unreported foreign bank accounts and foreign financial transactions.
• Representation of individuals on charges of tax evasion in connection with the creation of offshore business structures.
• Representation of individuals on charges of underreporting income and claiming false tax deductions.

“White Collar” Criminal Matters

• Representation of real estate company charged with bank fraud.
• Representation of principal target in connection with Department of Defense investigation regarding bribery, defense secrets, and espionage.
• Representation of owners and crew of ship held by foreign defense officials for possible unlawful activities in country’s exclusive economic zone.
• Representation of individual accused of immigration fraud in front of consular officer in Eastern European country.