Government/Regulatory Guidance

No event is more unnerving than being contacted by government regulators.  Knowing the proper steps to address such matters and, more importantly, preventing such visits is an integral part of our regulatory practice.  Our attorneys have guided numerous clients through a wide range of regulatory investigations, including investigations conducted by the United States Department of Justice, the Internal Revenue Service, the PBGC, the United States Department of Labor (OLMS and EBSA), the New York State Attorney General’s Office, the New York City Department of Investigation, and numerous district attorney offices throughout the State of New York.

Our attorneys, with combined experience of nearly forty years in government service, include a former Assistant Attorney General for the New York State Attorney General’s office and a former Senior Investigator for the United States Department of Labor, Employee Benefits Security Administration.  Two other attorneys served as investigative counsel for the National Labor Relations Board.

Our attorneys understand the complexities facing union officers and ERISA-fund trustees and also appreciate that today’s regulatory environment requires strong compliance programs and governance practices. At ABGL, we work with clients to develop policies and procedures that locate and address issues, instead of reacting to problems.

Some of our work has included

  • Investigations of third-party providers to Taft-Hartley funds associated with Ponzi-type schemes;
  • Reviews of Taft-Hartley plans to ensure compliance with ERISA, IRS, and US DOL regulations both prior to and during investigations;
  • Coordination of Fidelity Insurance Claims involving theft of assets by employees;
  • Referral, defense, and coordination of complex white collar crimes to law enforcement;
  • Handling subpoenas and investigations of Taft-Hartley plans by the US DOL, Employee Benefits Security Administration (EBSA);
  • Felony investigations by District Attorney offices;
  • Federal and New York State Grand Jury subpoena compliance; and,
  • Trial counsel in felony criminal matters.

Whether you wish to discuss how to avoid such issues or how to handle an ongoing investigation, our attorneys are well equipped to provide you with the timely and effective advice you demand.