Maxim M.L. Nowak, Counsel

Regulatory Defense & Investigations

• Assist in the representation of a major financial data and media company in parallel state and federal regulatory investigations into data privacy concerns. 
• Successfully coordinate the response of a private equity backed unicorn to a ransomware attack and related regulatory investigations.
• Represent a prominent investment advisor in connection with the collapse of an open-ended credit fund.
• Successfully defend the targets of an SEC investigation into the litigation funding industry.
• Defend a broker-dealer in a FINRA inquiry.
• Defend the Chief Reporting Officer of a multinational bank in a U.S. Treasury Department investigation.
• Act on behalf of a C-level executive in a SEC investigation of a large venture capital firm.
• Defend an international auction house in a tax-related investigation conducted by the NYSAG.

Criminal Defense & Investigations

• Defend a prominent auction house in a sales tax investigation conducted by the Manhattan District Attorney’s Office.
• As CJA counsel, obtain a downward variance at sentencing for a defendant charged with violating § 18 U.S.C. § 922(g) in the Southern District of New York.
• Defend a medical practitioner indicted in an Anti-Kickback Statute matter in the Southern District of New York.
• Serve as pool counsel in a long-running Anti-Kickback Statute and Off-Label investigation in the District of New Jersey.
• Defend the target of a federal inquiry into the closure of New York’s Moreland Commission to Investigate Public Corruption.
• Defend a major non-profit in the investigation into former New York State Senate Majority Leader Sheldon Silver.
• Defend a real estate developer in an investigation conducted by the Office of Special Counsel Robert Mueller, III.
• Defend the Chairman of a Swiss Privatbank in an investigation conducted by the Department of Justice Tax Division.
• Defend a multinational shipping company in a criminal antitrust and FCPA investigation conducted by the Department of Justice.
• Defend a major United Kingdom based financial institution in U.S. Dollar & Sterling Libor investigations conducted by the DoJ, USAO, UK FCA, CFTC and NYAG and related Multidistrict class action litigation.
• Defend the Chief Audit and Compliance Officer of an international auto manufacturer in a securities investigation conducted by the USAO.
• Defend executives of an international re-insurance broker in an FCPA investigation..
• Act on behalf of the pension fund of a major South American oil company in a fraud investigation.
• Defend the Chief Accounting Officer of an automotive manufacturer in a DoJ and SEC fraud investigation.

Internal Investigations

• First chair an internal investigation into allegations of sexual assault at a Manhattan educational institution.
• Investigate allegations of accounting irregularities at a major real estate technology firm.
• Defend a RMBS trader in an investigation into spoofing.
• Defend a senior apparel executive in a bribery investigation.
• Defend the Chief Accounting Officer of an automotive manufacturer in an internal investigation.
• Conduct an internal investigation on behalf of a Hedge Fund into allegations of employee misconduct.
• Conduct an internal investigation on behalf of a service provider into allegations of IP theft.
• Defend a partner in a hospitality group in an investigation into potential misconduct.