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We are proud of the fact that, shortly after opening our doors, we were ranked in the First Tier of all DC law firms in the area of Compliance by US News & World Report. Our compliance practice is an important adjunct to our regulatory and litigation practices, where we often represent in-house lawyers, compliance personnel and supervisors in the broker-dealer, investment advisor and FCPA arenas. It also overlaps with the work we do on corporate governance and internal investigations for boards of directors, special litigation committees and audit committees.

In addition to defending those with compliance responsibilities in government civil and criminal investigations, we provide guidance and advice on internal policies and procedures for financial institutions and public companies. We have evaluated and recommended improvements in areas including insider trading prohibitions, gift and entertainment polices, broker-dealer sales and trading practices, the issuance of stock options, and FCPA compliance. Moreover, partners in the firm have provided formal and informal training for client employees in these and other areas.

As a result of our experience in these areas, several partners in the firm are invited to speak on related topics at both industry and professional seminars. For example, Richard Morvillo is a regular speaker at SIFMA's Annual Legal and Compliance Meeting, and Andrew Morris, who began his career as a certified public accountant, lectures at legal and accounting programs. Andrew also frequently publishes articles dealing with compliance-type issues.



NYC Tel: 212-796-6330 | NYC Fax: 212-240-8267 | Washington DC Tel: 202-470-0330 | Washington DC Fax: 202-775-5937

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