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White Collar Criminal and Regulatory Defense

Our practice, led by a former federal prosecutor, has the experience and – more critically – an insider’s perspective on the tactics and resources used by the Department of Justice, the Securities and Exchange Commission, Department of Health and Human Services, and others in connection with the investigation and prosecution of regulatory and white collar matters.

We draw on decades of knowledge gained handling federal criminal and regulatory proceedings, administrative actions and parallel and separate white collar matters to assist our clients in responding to and, when necessary, defending against these complex and high-stakes cases. Our team includes former federal prosecutors and government regulators experienced in matters as far ranging as health care and securities fraud to public corruption and trade secrets protections.

We also assist companies in performing rapid-response internal investigations, designing corporate compliance programs and trading plans for insiders, and in responding to federal and state subpoenas, investigative demands, and compliance audits.

Federal Criminal and Enforcement Proceedings

Bell Nunnally’s attorney team routinely handles matters involving:

  • White Collar Criminal Defense
  • Health Care Fraud
  • Securities Fraud
  • Fraud, Abuse and Compliance
  • Internal Investigations
  • Government Contracts
  • The Federal and State False Claims Acts (FCA)
  • The Foreign Corrupt Practices Act (FCPA)
  • Corporate Accountability
  • Grand Jury Investigations
  • EB - 5 Investigations

Federal and State Administrative Actions

We defend clients in federal and state administrative actions by securities, health care and banking regulators, including acting as counsel for institutional and individual health care providers, corporations, broker-dealers, investment advisers, and officers and directors of public, private and regulated entities. We also represent regional centers and their senior personnel, investors, and other clients in actions investigated by the SEC and USCIS alleging the misuse of the EB-5 program as a means to carry out fraudulent securities offerings.

As part of Bell Nunnally’s regulatory defense practice, we frequently appear on behalf of clients before criminal and administrative bodies and self-regulatory organizations such as:

  • The Department of Justice (DOJ)
  • The Securities and Exchange Commission (SEC)
  • The Texas State Securities Board (TSSB)
  • The Financial Industry Regulatory Authority (FINRA)
  • Federal and State Grand Juries

Internal Investigations

Armed with first-hand experience working in enforcement capacities, we assist companies conducting internal investigations of potential improper criminal and civil conduct.

Our in-depth approach provides an investigation-before-the-investigation and arms companies and individuals with critical knowledge regarding potential inquiries.

We are available to assist from the moment a cause for concern arises and before charges are filed – responding to grand jury or regulatory subpoenas, whistle blowers, and other time-sensitive matters, providing critical counsel on searches and seizures and negotiating non-prosecution agreements and non-filings.

Corporate Compliance

We analyze everything from financial accounting controls to employee training systems. These audits provide shareholders and insiders with invaluable peace of mind, knowing strong defensive measures are in place to ward off criminal and civil allegations of wrongdoing.  We also routinely advise our clients regarding the steps to take, and how to take them, to protect themselves as corporate insiders and control persons.


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