Government Investigations & Regulatory Enforcement Attorneys 

Businesses face intense scrutiny from federal and state regulators. Whether it's financial fraud, antitrust violations, or cybersecurity concerns, regulatory bodies aggressively investigate companies across industries. These investigations can lead to severe civil and criminal penalties, including fines, lawsuits, and even prison time for executives.  

If your business is under investigation, you need a legal team that knows how to navigate regulatory enforcement. At Horn Wright, LLP, our commercial litigation attorneys have helped countless businesses and executives defend against government actions. Our attorneys understand the complexities of these cases and will work strategically to protect your interests. You deserve having one of the best law firms in America by your side to protect your rights. 

The Government is Watching – Are You Ready? 

Businesses across industries can become targets of government inquiries. Regulatory agencies cast a wide net, looking for compliance violations that could indicate misconduct. These investigations often begin with document requests, subpoenas, or whistleblower reports and can quickly escalate if not handled properly.  

Here are some of the most frequent investigations companies face: 

• Securities & Financial Fraud Investigations – The Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and Department of Justice (DOJ) investigate allegations of insider trading, accounting fraud, and market manipulation. These cases can result in severe financial penalties and bans from the industry. 
• Antitrust & Competition Crackdowns – The Federal Trade Commission (FTC) and DOJ Antitrust Division monitor business mergers, price-fixing, and monopolistic practices. Companies engaged in questionable business practices may face significant fines or restructuring orders. 
• Healthcare & Pharmaceutical Under the Microscope – The Department of Health and Human Services (HHS), Food and Drug Administration (FDA), and Drug Enforcement Administration (DEA) enforce laws related to fraud, off-label marketing, and controlled substances. Healthcare providers, pharmaceutical companies, and medical device manufacturers are often targeted. 
• Environmental Compliance Nightmares – The Environmental Protection Agency (EPA) and state environmental agencies investigate pollution violations, hazardous waste disposal, and noncompliance with clean air and water regulations. Failing to adhere to these laws can lead to costly remediation efforts and damage to corporate reputation. 
• Cybersecurity & Data Privacy Breaches – The FTC, New York’s SHIELD Act enforcers, and global regulators like the GDPR compliance authorities probe data breaches, consumer privacy violations, and security failures. With increasing data breaches, companies must ensure compliance with both state and federal laws to avoid harsh penalties. 

A government investigation in any of these areas can result in significant financial losses, operational disruptions, and even criminal liability. Speaking with an attorney at Horn Wright, LLP, the moment you’re contacted can make the difference between success or failure in dealing with these types of investigations. 

Who’s Got Their Eye on You? The Agencies That Can Take You Down 

Federal Agencies 

Several federal agencies oversee regulatory enforcement in New York, each with its own investigative powers and enforcement mechanisms. Their jurisdiction often overlaps, leading to complex, multi-agency investigations. The key agencies include: 

• Department of Justice – Handles criminal and civil enforcement of federal laws. The DOJ has broad authority and works alongside other regulatory agencies to pursue violations aggressively. 
• Securities and Exchange Commission – Investigates securities fraud, insider trading, and financial misrepresentation. Companies operating in financial markets must maintain stringent compliance to avoid SEC scrutiny. 
• Federal Trade Commission – Monitors deceptive business practices, antitrust concerns, and data privacy issues. The FTC also regulates advertising and marketing practices, ensuring consumer protections are upheld. 
• Financial Industry Regulatory Authority – Oversees broker-dealer compliance and securities regulation. FINRA has the authority to impose fines and sanctions against financial professionals. 
• Internal Revenue Service – Investigates tax fraud, money laundering, and corporate financial misconduct. Businesses with complex financial structures are often targeted for audits and investigations. 

New York’s Toughest Regulators 

New York has some of the most aggressive regulatory agencies in the country, with wide-ranging authority over businesses operating in the state. Their enforcement actions can be just as severe as federal investigations. The primary state regulators include: 

• New York Attorney General – Prosecutes financial fraud, consumer protection violations, and corporate misconduct. The Attorney General’s office frequently collaborates with federal agencies on high-profile cases. 
• Department of Financial Services (DFS) – Regulates banking, insurance, and financial institutions operating in New York. The DFS has significant influence over financial institutions and can impose heavy penalties. 
• New York Department of Labor (DOL) – Enforces labor laws, wage disputes, and workplace safety regulations. Employers must comply with wage and hour laws to avoid investigations and penalties. 

Businesses need to remain vigilant and proactive in their compliance efforts. A single regulatory misstep can attract the attention of these powerful agencies, leading to lengthy and costly legal battles. A consultation with one of our business attorneys can give you the proactive peace of mind knowing you’re in compliance and unlikely to be subjected to these types of investigations.  

Your Business is on the Line – Why Settle for Less? 

At Horn Wright, LLP, we have a proven track record of defending businesses and executives against government investigations. Our attorneys understand the complexities of regulatory enforcement and are experienced in negotiating settlements, challenging agency actions, and mounting strong courtroom defenses. We take a strategic approach to minimizing legal exposure and avoiding costly penalties. 

Don’t Let the Government Decide Your Fate – Take Control Now 

If you’ve been contacted by regulators, don’t wait to take action. The sooner you secure legal counsel, the better positioned you’ll be to protect your business and reputation.  

At Horn Wright, LLP, we offer confidential consultations to discuss your situation and develop a strategic response plan. Our attorneys understand the high stakes involved in regulatory enforcement and will work diligently to protect your business.  

Contact our offices today to learn how we can help you navigate the challenges of government investigations and regulatory defense.