Blog Posts

What to Do if You’re Being Investigated for a White-Collar Crime

White-collar crime is often viewed as victimless. But that is not exactly true. Financial frauds such as embezzlement, money laundering, securities fraud, insurance fraud and tax evasion can have significant consequences for businesses, their clients and partners and consumers. That is why white-collar crime is…

Topic: Criminal Defense

Press & Publications

New York Law Journal

The Ex Post Clause In The Post-‘Booker’ World

An in-depth analysis of federal sentencing guidelines in the wake of United States v. Booker, which rendered those guidelines advisory rather than mandatory.

The Ex Post Clause In The Post-‘Booker’ World

Case Results

Assault Case Resolved with Reduced Charges

Recently, a licensed securities industry executive was charged with assault after a fight with his girlfriend. Shortly after the charges were filed in New York County Criminal Court, he violated the order of protection that was issued upon his arrest and arraignment. Wanting to avoid the statutory and professional consequences that would stem from a conviction on either of those charges, and desperate to have the situation behind him, he reached out to a New York criminal defense attorney at Protass Law PLLC for help.

Harlan Protass immediately got to work on the client’s case, and was able to resolve it with a guilty plea to a charge of disorderly conduct – which is a violation, not a crime, under NY law. As such, neither the charge nor the conviction will impact on the client’s securities license and will be sealed entirely after a year.

The outcome of an individual case depends on a variety of factors unique to that case. Case results do not guarantee or predict a similar result in any similar or future case.

No Charges Against Hedge Fund Executive Investigated for Mutual Fund Market-Timing

A hedge fund executive turned to attorney Harlan Protass for representation when he received a subpoena from the U.S. Securities and Exchange Commission (SEC) inquiring into his trading strategy. Because he knew that his client had not violated any law, attorney Protass and his client fully cooperated with the SEC’s investigation. After not hearing from those regulators for almost two years, however, attorney Protass received notice that the SEC was considering the filing of securities fraud charges against his client. In response, attorney Protass prepared a lengthy “Wells Submission” that ultimately persuaded the SEC of what he already knew – that his client had not violated any law, rule or regulation.

The outcome of an individual case depends on a variety of factors unique to that case. Case results do not guarantee or predict a similar result in any similar or future case.