Regulatory Enforcement Actions

Miedel & Mysliwiec LLP represents individuals and corporations in regulatory enforcement actions brought by the Office of Inspector General/Department of Health and Human Services (OCIG/HHS), Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Federal Deposit Insurance Corp. (FDIC), the Federal Housing Finance Agency, New York State professional licensing agencies and other agencies.

Representative Matters:

  • Represented a chief risk officer facing an SEC and FINRA investigation into insider trading charges; obtained a successful settlement of the SEC enforcement action and avoided criminal charges
  • Represented the chief financial officer of a U.S. subsidiary of a Chinese company charged by the SEC with fraud and violating financial reporting requirements; negotiated settlement for no financial penalty and minimal officer/director bar
  • Represented a company employee in connection with a federal criminal and civil investigation into the company's mortgage lending business and successfully avoided arrest, prosecution or even being required to provide grand jury testimony
  • Represented a company in response to a U.S. Attorney's office's criminal investigation into the client's agricultural pricing
  • Represented numerous clients facing Internal Revenue Service investigations
  • Secured a successful outcome at an administrative hearing for an NYPD officer facing departmental charges
  • Secured multiple dismissals and sealings of New York Administration of Children's Services findings that a parent had neglected a child and endangered the child's welfare
  • Negotiated integrity agreement with OCIG/HHS to prevent doctor from being excluded as a provider to federal and state health care programs;