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White Collar & Securities

Building the facts to unravel complex schemes

Record-setting fines and penalties, public backlash, and the risk of criminal and civil liability make the stakes surrounding allegations of white collar and securities crimes higher than ever. When these allegations are made, and organizations find themselves in the crosshairs of a government regulator, a swift and comprehensive response is required to navigate the significant legal, commercial, and reputational hurdles that lie ahead.

Ankura’s professionals assist company boards, senior management, legal counsel, and government agencies in addressing allegations of complex white collar crime and securities schemes. We seamlessly partner with outside and in-house counsel to conduct internal investigations, respond to government inquiries, and manage criminal and civil litigation.

Offerings

Disruptive Trading & Spoofing: Our team develops tailored algorithms to review and conduct rigorous analyses to detect patterns of disruptive trading activity and evidence of market manipulation.
Insider Trading Allegations: We leverage proprietary technologies and algorithms to detect instances of insider trading and isolate anomalous trades by normalizing market dynamics with trading patterns.
Stock Market Manipulation: We help clients modify or design trading monitoring systems and develop price impact models that isolate evidence of market manipulation and calculate damages from illicit behavior.
Tax Controversy: We conduct thorough financial analysis during the audit, appeals, and trials stages of tax controversy cases to provide accurate and reliable representation of historical facts and resolve disputes.
Whistleblower Investigations: We help clients conduct internal investigations and respond to sensitive allegations of misconduct.

Our Latest Thinking

Memo

Update to DOJ Corporate Compliance Guidance

Global Financial Institution

Responding to Joint SEC & DOJ Investigation

Ankura was retained by the independent audit committee of a large financial institution to perform an internal investigation with outside counsel and to assist in responding to the SEC and the DOJ concerning allegations of improper fees charged to customers. Ankura professionals deconstructed the proprietary trading systems and computer code to provide clear explanations of the complex details surrounding the trading process, the data captured, and the functionality of the custom computer software. Ultimately, Ankura analyzed the scope of the fees at issue and the customers affected, and the results of the investigation were reported to the audit committee as well as to the SEC, the DOJ, and the FBI.

The Ankura Difference

Ankura’s white collar and securities team integrates the experience of former investigators, prosecutors, and senior government officials. Our team has served in the Department of Justice, the Federal Bureau of Investigation, the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Public Company Accounting Oversight Board, the Department of Defense, as well as in-house investigative and compliance personnel for Fortune 50 companies. Our team has successfully traced and recovered hundreds of millions of dollars for investors and interested third parties who have been the subject of corporate fraud, including some of the largest Ponzi and securities fraud schemes in the world.