White Collar, Investigations, and Securities Litigation

White Collar, Investigations, and Securities Litigation

Led by a former federal prosecutor and AV preeminent-rated lawyer, KCO’s White Collar, Investigations, and Securities Litigation Group has broad and extensive experience in defending companies and individuals in a myriad of white-collar matters at the investigative stage through preliminary hearings, trials, and appeal.

The group has expertise in preparing witnesses to appear before grand juries and the SEC, as well as negotiating the favorable resolution of criminal charges in matters ranging from public corruption, embezzlement, False Claims Act, obstruction of justice, OSHA, and environmental charges.

The group’s trial and appellate experience is also significant and includes over 50 federal and state jury trials, court trials and arbitrations as well as arguments before the Ninth Circuit and California Courts of Appeal.

In the financial and securities services field, the group has expertise in conducting internal investigations as well as SEC and FINRA litigation and has represented  both broker dealers and individual registered representatives in an array of regulatory actions together with civil litigation in state and federal court.

For more information about our White Collar, Investigations, and Securities Litigation practice, please contact Theresa Kristovich at (213) 493-3990.

Representative Class/Collective Action Matters

• Successfully resolved criminal charges in Los Angeles Superior Court against a privately held major food manufacturer company in connection with a workplace death following a two-week preliminary hearing.
• Successfully resolved federal criminal charges against a minority owned privately held business stemming from allegations of improper disposal of hazardous waste.
• Successfully prevented Fortune 500 company from being charged with federal criminal violations for alleged sale of hazardous products for improper use.
• Successfully prevented individual client from being charged with California state criminal violations for allegedly participating in improper environmental dumping.
• Negotiated resolution of False Claims Act charges against a private company stemming from training of ammunition detection dogs.
• Defended physician charged with Medicare fraud in federal court in the Central District of California.
• Negotiated resolution of False Claims Act charges against a privately held company stemming from alleged Medicare fraud stemming from sale of services.
• Successfully resolved FINRA claims against a broker dealer and individual representative involving Tenant in Common sales following two-week arbitration.
• Successfully negotiated multiple claims against a broker dealer and various individual registered representatives for securities fraud stemming from sales of TIC interests.
• Obtained a non-suit in a securities case in Santa Barbara Superior Court against an individual registered representative following a two-week jury trial.
• Obtained dismissal with prejudice of purported securities class action asserting Rule 10-b(5) and 20(a) claims against consumer products manufacturer.
• Successfully resolved purported securities class action and related derivative action asserting Rule 10-b(5) and 20(a) claims against apparel manufacturer.