Compliance, Investigations and Enforcement

Cadwalader's transatlantic team represents clients in investigations, compliance and enforcement actions covering virtually every type of financial fraud in almost every industry, spanning more than 60 countries. Our experience is unmatched and is complemented by seasoned litigators, providing clients with integrated, strategic advice built around their business and its goals. From the boardroom through the courtroom, Cadwalader is one of only a few firms that can offer compliance, investigations, and enforcement advice across the ocean facing the world’s most aggressive regulation. We have designed and benchmarked more compliance programs than any firm, and have conducted investigations on the ground virtually worldwide. Our team of skilled courtroom advocates has tried hundreds of trials in our decades of combined experience.


  • We design anti-bribery and anticorruption policies and procedures, and benchmark on a diagnostic and risk-based basis ongoing compliance with such policies and procedures.
  • Our team has extensive experience in designing work plans to identify and assess post-acquisition corruption issues, and in counseling companies on their potential disclosure obligations.


  • We represent organizations across a broad range of sectors examining a wide variety of issues that vary in scope, but are often high-profile, sensitive and involve issues in challenging jurisdictions.
  • Our subject matter expertise spans industries, including pharmaceuticals, automotive, energy, technology, construction, and medical devices, among others.
  • Our transatlantic team has global experience and is able to advise on action from international enforcement agencies, often alongside trusted local advisors.
  • Should an issue require communication with law enforcement, regulatory bodies or non-governmental organizations, our team has complete credibility and a proven track record in managing these interactions. Many of our lawyers have prior experience working for these agencies.


  • We defend public companies, regulated entities, and individuals in enforcement actions in federal court and administrative proceedings.
  • We offer strategies to avoid enforcement actions and mitigate possible penalties and collateral consequences.
  • We monitor enforcement trends and new securities regulations to ensure that clients’ compliance programs operate effectively.

10 Attorneys

Avergun, Jodi L. Senior Counsel Washington
T. +1 202 862 2456
Breen, Kenneth M. Partner New York
T. +1 212 504 6240
Castellano, Gina Partner New York
T. +1 212 504 6234
Clark, Jeffrey D. Partner Washington
T. +1 202 862 2330
Gansler, Douglas Partner Washington
T. +1 202 862 2300
Grieve, Duncan Partner London
T. +44 (0) 20 7170 8579
Guberman, Phara A. Partner New York
T. +1 212 504 6241
Holloman, Ellen V. Partner New York
T. +1 212 504 6200
Tompkins, Anne M. Partner Charlotte
T. +1 704 348 5222
T. +1 202 862 2496
Weinstein, Martin J. Partner Washington
T. +1 202 862 2288