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Counsel And Representation For Individuals And Companies On Regulatory Compliance

Seeking early legal counsel is one of the best ways to prevent being targeted in an investigation over regulatory compliance. Even with careful regulatory compliance precautions in place, a government agency or internal division may investigate a corporation, a CEO or any fiduciary.

Sapone & Petrillo is a respected, strong resource for corporate CEOs, Wall Street broker-dealers and business entities of all sizes. Clients rely on our customized counsel to address any legal needs involving regulatory compliance and investigations.

Reviews, Investigations And Preventive Measures

Individuals and businesses alike look to our firm for trustworthy, cost-effective advice on the following:

  • Risk assessment covering local, state, federal and international laws and regulations
  • Audits and investigations
  • Security policies and fraud prevention
  • Information storage and dissemination
  • Investment scam prevention
  • Permits and licenses
  • Environmental issues
  • Cybersecurity

Fortune 500 businesses and other large corporations often have in-house counsel for such purposes, but they, too sometimes ask for our assistance. Our skills and sophistication allow us to adapt to clients’ unique needs.

Accomplished Attorneys

The attorneys at Sapone & Petrillo have ample experience relevant to regulatory compliance and investigations. They have brought about many successes while helping individuals and companies prevent and respond to investigations. They offer the caliber of legal counsel that you seek when your company or anyone representing your company needs to avoid or respond to accusations of regulatory violations.

Attorney Edward V. Sapone has devoted his entire career to defending businesses charged with crimes, including allegations of multimillion-dollar fraud. Attorney William S. Petrillo has also defended many individuals and businesses in complex white collar crime cases. They have represented corporate officers and others in high places in high-stakes criminal cases. They defend those facing charges of fraud and regulation violations. This experience helps them advise individual fiduciaries and companies on steps to take to prevent legal trouble. They are skilled at explaining laws and regulations governing corporate practices to clients who need help implementing or enforcing policies.

Ready To Conduct Your Needs Assessment Or Respond To An Urgent Situation

We are available for preventive as well as responsive counsel and representation. Turn to us for help with all things having to do with regulations and investigations.

To schedule a consultation, call 212-349-9000 or complete our online inquiry form.

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