In Georgia’s zero-tolerance financial regulatory environment, even the perception of misconduct can trigger a catastrophic legal crisis. For banks, investment funds, brokerage firms, and the licensed professionals who drive them, an inquiry from a regulator or prosecutor threatens not just financial penalties, but the potential end of a career. Our firm is a dedicated shield for the financial services industry, providing a sophisticated and specialized defense practice tailored to the unique challenges of this sector. We are not just criminal lawyers; we are financial market defense strategists, fluent in the language of both law and finance, and committed to protecting our clients' businesses, licenses, and liberty.
Navigating an enforcement action by the National Bank of Georgia (NBG) is a high-stakes process that demands specialized experience. The NBG wields immense power, from conducting on-site inspections and compelling testimony to imposing crippling fines and revoking licenses. Our representation spans the entire lifecycle of an NBG investigation. We manage voluminous and complex document productions, meticulously prepare executives and traders for regulatory interviews, and craft detailed legal submissions that argue against findings of wrongdoing. Our proactive engagement is designed to resolve matters at the earliest possible stage, often preventing a confidential supervisory inquiry from escalating into a public enforcement action or a devastating criminal referral.
Defending against a criminal charge of market manipulation requires a deep and practical understanding of trading strategies. The prosecution must prove a specific intent to create an artificial price or a misleading appearance of market activity. Our defense methodology involves a forensic deconstruction of the trading activity in question. We partner with leading financial market experts and data analysts to demonstrate that our client's trading patterns were driven by legitimate, economically rational strategies—such as hedging, arbitrage, or liquidity provision—rather than a fraudulent scheme. We work to educate prosecutors and judges on market complexities, transforming what appears suspicious to the untrained eye back into what it is: legitimate business.
Allegations of illegal insider trading are equally complex, hinging on nuanced legal definitions. The state must prove that an individual traded while in possession of information that was both "material" and "non-public," and that they did so in breach of a fiduciary duty. Our defense strategy involves a multi-pronged attack on these elements. We vigorously argue that the information was not legally material, that it had already been disseminated to the market through other channels, or that the trades were part of a pre-established, legitimate trading plan. We build a robust factual and legal case to show that our client acted properly and within the bounds of the law.
The greatest danger in these cases is often the multi-front battle. An NBG investigation, a criminal prosecution, and civil investor lawsuits can proceed simultaneously, creating a treacherous legal minefield. Testimony given in a regulatory interview can be used against you in a criminal trial, and findings in one forum can have disastrous consequences in another. Our firm provides a unified and cohesive defense strategy. We manage all proceedings under a single, integrated plan, ensuring that our legal and factual positions are consistent across all fronts. This holistic approach is essential to prevent a client from being trapped in a web of conflicting proceedings and is critical to achieving a successful global resolution.
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