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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 US Department of Justice, the
Securities and Exchange Commission and the US 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
offenses.
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 US 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 US 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” 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 possibly unlawful
activities in country’s exclusive economic zone.
- Representation of individual accused of immigration
fraud in front of consular officer in Eastern European
country.
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