Defense of Professionals

For professionals the collateral consequences of a criminal prosecution can have profound implications. Beyond the obvious risk of a criminal record there are additional concerns such as the risk to one's professional license, disciplinary proceedings, and negative notations in publicly available databases. We are particularly conscious of these concerns as they affect the majority of our clientele.

We have successfully defended corporate executives and employees, finance professionals (including investment bankers, brokers and fund managers), physicians, attorneys, accountants, and professionals from numerous other fields. We are familiar with the regulatory organizations and the rules that govern various professions.

  • For finance professionals this includes the Rules of the Securities and Exchange Commission (SEC) as well as records maintained by the Financial Industry Regulatory Authority (FINRA) and its Central Registration Depository (CRD) system.
  • For attorneys this includes the Rules of Professional Conduct (specifically Rule 8.4) enforced by the Departmental Disciplinary Committees, and for attorneys seeking admission to the bar, the Committees on Character and Fitness.
  • For physicians this includes Education Law (specifically sections 6530 and 6531) enforced by the New York State Department of Health Office of Professional Medical Conduct (OPMC).
  • For public accountants, psychologists, mental health practitioners, physician assistants, chiropractors, dentists, veterinarians, physical therapists, pharmacists, nurses, podiatrists, optometrists, engineers, architects, and a host of other professions this includes the Education Law and the Regulations of the Commissioner of Education which are regulated by the Board of Regents and the State Education Department.
  • For all professions regulated by the Board of Regents and the State Education Department this includes the Education Law and the Regulations of the Commissioner of Education. Such professions include: public accountancy, psychology, mental health practitioners, physician assistants, chiropractic, dentistry, veterinary medicine, physical therapy, pharmacy, nursing, podiatry, optometry, engineering, and architecture.