State + Local Government Enforcement

State and local enforcers have been particularly active in recent years, requiring legal counsel experienced in managing challenges such as broad discovery, heightened political and publicity considerations, and parallel federal and private litigations. Our State and Local Government Enforcement team includes former state and federal prosecutors who held leadership positions within their respective government offices, former regulatory enforcement lawyers, and veteran career defense attorneys, all of whom focus on representing high-profile companies and their executives in investigations and enforcement actions brought by State Attorney’s General Offices, state securities regulators, state and local agencies, and District Attorney’s Offices around the country. We regularly represent clients in matters involving parallel actions brought by state and federal government agencies and regulators.

Drawing on our government experience, we provide unique insights into the conduct that state and local law enforcement agencies and regulators regularly pursue, the way that state and federal enforcement agencies interact, and effective strategies for navigating parallel state and federal investigations. We anticipate prosecutors’ and regulators’ next steps, plan and execute efficient and thorough investigations, and quickly pinpoint key issues identifying the best path forward from the outset.

We are strategically situated in states with particularly active local law enforcement and regulatory bodies. Our close ties to the New York and California legal markets give us additional credibility when making presentations, negotiating resolutions, and defending high-profile investigations and enforcement actions involving our primary local markets.

Additionally, MoFo’s State and Local Government Enforcement team is comprised of lawyers from across the firm’s practice and industry groups, which equips our highly integrated team to counsel on the full spectrum of enforcement priorities for local law enforcement agencies and regulators, including matters that involve issues of public corruption, antitrust, cybersecurity, data privacy, consumer protection, securities law, and state False Claims Act (FCA) provisions, among others. The Firm’s industry group practices, which include banking, consumer products, technology, and healthcare, among others, contribute to our ability to understand the businesses of our clients from the inside out to protect their market position and provide efficiencies in defending against industry-wide enforcement efforts led by local agencies.

Representative Engagements

  • A multinational holding company related to parallel investigations of an investment company and its former CEO by the New York State Attorney General’s Office (NYAG), the California Attorney General, the U.S. Attorney’s Office for the Southern District of New York (SDNY), the U.S. Securities Exchange Commission (SEC), and the Manhattan District Attorney’s Office (DANY) for potential financial misconduct and misrepresentations to investors
  • A waste management company in negotiating a three-year deferred prosecution agreement with the U.S. Attorney’s Office for the Northern District of California and the resolution of a parallel civil lawsuit filed by San Francisco’s City Attorney related to an extensive and wide-ranging public corruption investigation.
  • A major gold and silver investment company and its CEO in a Martin Act commodities and consumer fraud special proceeding brought by the NYAG and filed in Erie County.
  • Two global retailers in responding to inquiries from the NYAG relating to credential stuffing attacks in which cyber criminals obtained stolen username/password combinations and tested them on websites to determine whether they could be used to successfully log into our customers’ accounts.
  • The supervisory board of a car manufacturer in an ongoing investigation by various state Attorneys General, the U.S. Department of Justice (DOJ), the U.S. Environmental Protection Agency, the California Air Resources Board, the SEC, German Prosecutors, and the German vehicle admissions agency into potential violations of environmental, capital markets, consumer protection, antitrust, and criminal laws.
  • A large asset management firm and a hedge fund in parallel investigations being conducted by the NYAG, the SDNY, and the SEC into potential insider trading in connection with Puerto Rico municipal bond sales during the mediation process in Puerto Rico’s debt restructuring process.
  • A major consulting firm related to its pandemic work for the State of New York and certain related government investigations, including by the NYAG, the U.S. Attorney’s Office for the Eastern District of New York (EDNY), and DANY.
  • A global accounting firm in connection with its responses to the third-party subpoenas and requests relating to government investigations led by a State Attorney’s General Office and lawsuits against Equifax for the 2017 data breach.
  • A major consumer products company related to an investigation by the NYAG of alleged price gauging of certain sanitizing products during the pandemic.
  • A partner at a major accounting firm in a NYAG investigation into violations of state FCA provisions regarding certain business locations were reported for tax purposes by a major hedge fund client of the accounting firm.
  • A senior executive of a crypto-related company in investigations by the NYAG, the DOJ, and the U.S. Commodities Futures Trading Commission (CFTC).
  • A health care research & development company in a securities investigation conducted by the Massachusetts Securities Division related to the registration and resale of the company’s securities.
  • A major government contractor in an investigation by the Mayor’s Office for the City of New York related to service outages.
  • The New York City Council, as Special Counsel, regarding misconduct by sitting Council Members.
  • The City of Rochester (New York), as Special Independent Counsel, related to the death of Daniel Prude while in police custody.
  • A state senator in a NYAG criminal investigation of campaign finance and public corruption allegations that resulted in a civil disposition with limited ongoing campaign finance reporting to the NYAG.
  • John A. Michalek, a former New York Supreme Court Justice, who pled guilty to public corruption charges brought against him by the NYAG and entered into a non-prosecution cooperation agreement with the U.S. Attorney’s Office for the Western District of New York.
  • Lovely Warren, the Mayor of Rochester (New York), as trial counsel in campaign finance charges brought against her by District Attorney for Monroe County.
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