Blog Posts

Securities Litigation: What to Expect in 2019

The statistics on securities class-action lawsuits for 2018 are in and, though some numbers will come as no surprise, there are some trends to watch for in 2019. According to the New York Law Journal, the total number of securities-related class-actions decreased slightly in 2018…

Topic: Securities Litigation

Myths About White-Collar Crime

Everyone has heard the phrase “white-collar crime.” But when it comes to explaining these types of offenses, people often repeat common misconceptions.

Topic: Uncategorized

What is a Nebbia Hearing?

A Nebbia hearing is an important part of the federal criminal justice process. If you have been arrested and charged with a federal crime, you will need to post bail to remain free while your case makes its way through the system. A Nebbia hearing,…

Topic: Uncategorized

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…

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.