FORD OBRIEN LANDY LLP

Firm Overview

Ford O'Brien Landy LLP is a litigation boutique with offices in New York, Austin, and Miami. Our team of innovative, skilled, and passionate lawyers prides itself on guiding businesses, and professionals through complex, and often daunting legal challenges. We focus our practice on representing clients in high-stakes commercial disputes, and defending clients that are subject to regulatory investigative, and enforcement proceedings as well as prosecution for white-collar crimes. We have brought our experience into the small firm setting in order to provide better service and value to our clients.

As a boutique firm, we approach cases in a streamlined and efficient manner, without the burdens and (sometimes extraordinary) expense that comes from hiring a large firm. We know how to skillfully prepare a comprehensive strategy that will allow us to address all aspects of a case while balancing our client’s complex interests.

Our results speak for themselves. Our attorneys have successfully navigated clients through many high-profile financial, securities fraud, and cross-border matters. Our victories have included a full acquittal after a federal criminal trial of a hedge fund CFO, dismissals of federal and state indictments and complaints, closures without charges of investigations of our clients by prosecutors and regulators, and numerous favorable settlements in complex civil matters.

Main Areas of Practice

• WHITE-COLLAR CRIMINAL DEFENSE

Being charged with a crime is a very serious matter, but the stakes are raised when the charges could take away your livelihood or even your freedom. For financial professionals, the mere allegation of a criminal act could make it impossible for you to retain your job, or find work once the case has come to an end. It is essential that you offer an effective defense to any and all charges that you may be facing.

At Ford O’Brien Landy LLP, we provide aggressive representation to individuals who are facing state or federal white collar crimes. Several of our attorneys have served in government at law enforcement agencies. Because of our decades of experience in and out of government, we understand the steps necessary to build a winning strategy in your case. Our attorneys have handled a number of high-profile criminal cases, and know how to effectively limit the potential consequences that may result from increased public attention.

We have helped many officers, executives, and brokers, as well as foreign and domestic companies, devise comprehensive strategies that take their entire case into consideration. We are focused on making sure that the approach that we take offers you protection throughout the criminal case, as well as any civil administrative matters that may also be connected. Some of the various types of white collar charges that our lawyers help clients defend against include:

• Government and internal investigations— we can help from the moment a client finds out that he or she may be the subject of a criminal investigation
• Mail and wire fraud— including the alleged use of electronic devices to spread information that is intended to defraud investors
• Insider trading—when brokers or firms are accused of using insider information to buy or sell stock or crypto/digital assets at a huge profit before this knowledge becomes known to the general public
• Securities fraud — when brokers or companies are charged with devising schemes that allow them to increase their profits at the expense of investors
• Data breaches —when a customer’s sensitive personal data have been exposed in some manner
• Consumer fraud —when a business or individual is alleged to have defrauded a consumer due to a deceptive business practice
• Money laundering —when a business or individual is alleged to be hiding or “laundering” money in order to make it appear legitimate

• COMMERCIAL LITIGATION

We have a long history of obtaining successful results for our clients, whether they are on the plaintiff’s, or defendant’s side. We develop creative strategies to provide each with high-quality representation, and offer several fee structures. We keep your goals, and expectations at the center of our focus when handling your case, and are committed to helping you get the best possible outcome both in, and out of court.

As a boutique law firm, we focus our practice on representing all manner of businesses, and individuals, including investment funds, technology companies, and manufacturers, as well as principals, managers, and professionals with complex litigation concerns.

Businesses depend on consistency, and predictability. We keenly understand that disputes, and litigations threaten to disrupt business operations, and create undue strains on revenue. Litigation is often unpredictable, but with the right plan, you can help reduce the potential uncertainties that may result in your case by anticipating, and planning for contingencies.

• REGULATORY INVESTIGATION & DEFENSE

Often, many of the issues that we see have two components, both criminal and civil exposure. We have attorneys on our team with extensive experience resolving both civil and criminal aspects of these cases. When we examine a situation, we want to make sure that the approach we take puts the client in the best possible position for success. Our lawyers have handled a number of high-profile cases involving securities and accounting matters, including:

• Securities and Exchange Commission (SEC) investigations
• Banking issues relating to the Federal Reserve Board
• Cryptocurrency compliance and regulatory defense
• Accounting defense
• FINRA defense
• Date Breaches and suspicious activity reports (SARs)
• Other state and federal regulatory bodies

• DIGITAL ASSET LITIGATION

The regulatory environment for cryptocurrencies is rapidly evolving and implicates oversight and possible enforcement actions brought by a range of U.S. regulatory authorities. Two agencies that have been active in addressing the consumer and investor risks of cryptocurrency are the U.S. Commodity Futures Trading Commission (“CFTC”) and the SEC.

Ford O’Brien Landy LLP has deep experience in white collar and regulatory defense and stands ready to assist cryptocurrency clients facing criminal prosecution, or civil or administrative enforcement actions. In addition, Ford O’Brien Landy LLP is well-placed to help trading platforms and other actors in the cryptocurrency space with their compliance obligations, including analysis of potential SEC registration requirements and designing effective compliance programs to address anti-money laundering laws and sanctions.

Inside trading in cryptocurrencies has also emerged as a point of focus for multiple U.S. law enforcement and regulatory agencies, including the Department of Justice (“DOJ”), the Securities and Exchange Commission (“SEC”), and the Commodity Futures Trading Commission (“CFTC”). In 2022, the DOJ announced the first-ever guilty plea in a crypto insider trading case, establishing a possible framework for future prosecutions.

The regulatory environment for crypto currency is still very much in flux as the regulatory authorities adjust to emerging products, technologies, and platforms. As a result, it may be difficult for traders, investors, platform designers, and digital asset promotors to adequately plan for and anticipate regulatory oversight. The attorneys at Ford O’Brien Landy LLP are fully informed about the regulatory landscape, and thus are well positioned to advise clients on crypto regulatory compliance and white-collar defense strategies.

• FOREIGN AGENT REGISTRATION

Ford O’Brien Landy LLP advises, and represents clients who are facing issues related to the Foreign Agents Registration Act (“FARA”). At a time when the FARA risk environment is particularly challenging, and the breadth of the FARA statute is far from clear, the importance of strategic, and effective FARA legal counsel cannot be overstated. The attorneys at Ford O’Brien Landy LLP have extensive experience in these, and other regulatory matters. We guide clients in ensuring registration compliance, as well as developing effective defense strategies.

• SANCTIONS-RELATED ADVOCACY

With the onset of war in Ukraine, the United States, and its allies have implemented blocking sanctions against scores of entities, and individuals with ties to the Russian Federation, or its economy. The sanctions, administered in the United States by the Office of Foreign Asset Control (OFAC) effectively prohibit United States individuals, and entities from doing business with the subjects of sanctions. In many cases, individuals, and entities may be the subject of European, British, and/or Canadian sanctions even if they are not sanctioned in the United States. The Russian Federation has introduced reciprocal measures, making economic, or business dealings with exposure to Russia more complicated even if none of the participants involved are the subject of sanctions.

In addition to sanctions, several large institutions (including many blue-chip law firms) have made categorical decisions to abstain from any activity that involves the participation of Russian citizens, or entities.

Ford O’Brien Landy LLP has established a practice representing individuals, and entities whose business, and even ability to travel has been hindered by sanctions. Utilizing applicable OFAC general licenses, we represent sanctioned individuals, and entities in litigations pending in U.S. state and federal courts as well as arbitration. We assist individuals, and entities in getting OFAC designations removed, and coordinate with foreign counsel who address issues in other jurisdictions. We represent clients seeking specific OFAC licenses to consummate transactions that would otherwise be prohibited (including transactions relating to the winding down of Russian-facing business operations). We also assist individuals who are no longer able to travel to the United States due to their connections with sanctioned entities, or due to their inclusion on foreign sanctions lists, even if there are no applicable sanctions in the United States.

• ASSET FORFEITURE

State, and federal law empowers law enforcement agencies to seize property through criminal, or civil asset forfeiture mechanisms. Criminal asset forfeiture is directed against the individual (in personam), and thus can only be imposed in connection with a criminal conviction. Civil asset forfeiture, on the other hand, attaches to the property itself ( in rem ), and thus can be imposed even if the property owner is never charged with a criminal offense. Civil asset forfeiture has been used by law enforcement officials in a wide variety of white-collar cases, including those involving allegations of securities law violations and insider trading.

Whatever the form that the forfeiture takes, early intervention by an experienced white collar defense attorney is the key to protecting an individual’s property.

Offices

NEW YORK OFFICE

275 Madison Avenue

Floor 24

New York, New York 10016

Phone: (212) 858-0040

AUSTIN OFFICE

3700 Ranch Road 620 South

Suite B

Austin, Texas 78738

Phone: (512) 503-6388

MIAMI OFFICE

One Biscayne Tower

2 South Biscayne Boulevard Suite 3200

Miami, Florida 33131

Phone: (786) 310-1135