Corporate investigations and white-collar criminal defense

Schulte Roth & Zabel LLP

Schulte Roth & Zabel LLP focuses its white-collar defence practice on the financial services sector. The firm is well equipped to deal with white-collar criminal and regulatory charges, utilizing its deep bench to secure strong positions in a complex and evolving practice area. In New York, the team is led by Craig Warkol, with an expertise in securities fraud, insider trading, and market manipulation, and John Nowak, bringing extensive experience from his positions at the SEC and DOJ. Leading the group in Washington DC is Charles Clark , a former director in the SEC’s enforcement division, with a focus on defending investment advisers, private funds, and public companies in regulatory and criminal matters.

Legal 500 Editorial commentary

Testimonials

Collated independently by Legal 500 research team.

‘The team has been great to work with. Each team member brings a different prospective on how to navigate my defense. ’
‘John Nowak has significant experience in the process with the regulator and this was extremely helpful to me in navigating my defense plan. John has been a great resource on guiding me as it relates to the deposition and how the responses are viewed. Shannon Wolf also brings very critical experience. She was instrumental in the approach with recent case law and was very helpful as well with preparing me for the deposition. ’
‘the team i have access to have worked & have experience in both defence and prosecution in securities matters - this a good perspective. ’
‘Both lawyers are well prepared and knowledgeable about the case specifics - both big picture tactics and micro points of law driven by the facts.’

Key clients

Senvest Management LLC
Atom Investors LP
Gates Capital/Centerline Investment Management
Candlestick Capital Management LP
Credit Suisse
Instinet, LLC
Lockheed Martin Corporation
Maltese Capital Management LLC and Patriot Financial Partners
Mason Capital Management, LLC
Nexo Capital Inc.

Work highlights

Represented the hedge fund Senvest in an SEC investigation that resulted in the first stand-alone settlement against an investment adviser regarding the use of unapproved channels for business communications.

Resolved a high-profile SEC investigation regarding Atom Investors, that was charged with recordkeeping violations. In a major win for our.

Represented Prime Group Holdings in an investigation by the U.S. Securities and Exchange Commission for allegedly failing to adequately disclose millions of dollars of real estate brokerage fees that were paid to a real estate brokerage firm that was affiliated with the company.

Legal 500

FAQs

Newsletters

Careers

Contact us