Regulatory Compliance & White Collar Criminal Defense
A litigation firm focusing on …
Regulatory compliance, white-collar criminal defense, government and corporate investigations, trial work, and securities and commodities investigations.
33 Riverside Avenue
Westport, Connecticut 06880
By Appointment Only
jfilan@jamesfilan.com
Mail to:
P.O. Box 291
Newtown, Connecticut 06470
Areas of Practice
White Collar Criminal Defense
Having investigated and prosecuted numerous cases as a federal prosecutor as well as having defended individuals and entities in many complex investigations, Jim has unique insight from all sides into the manner in which complex cases are investigated and prosecuted.
Regulatory Matters
Jim represents professionals accused of wrongdoing in connection with their professional licenses before various state regulatory boards, including the State Board of Medicine, the State Board of Veterinary Medicine and the State Board of Accountancy.
Securities & Commodities Investigations
Jim has represented targets of the Securities and Exchange Commission in insider trading cases, broker-dealer investigations and prosecutions, accounting irregularities and earnings restatement investigations as well as investigations conducted by the Commodities Futures Trading Commission.
Case File
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Represented at trial a land developer prosecuted by the federal government in a complex mortgage fraud trial in which every other defendant pleaded guilty. Jim’s client was acquitted of 7 of 9 counts, including the most serious charges of bank and mail fraud. Jim’s cross-examination of the government’s main cooperating witness was described in a filing by the government as “powerful.”
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Represented an executive of Bernard L. Madoff Investment Securities in the investigation and prosecution brought by the United States Attorney’s Office for the Southern District of New York involving the Federal Bureau of Investigation, the Internal Revenue Service, the Department of Labor and the Securities and Exchange Commission in the largest Ponzi scheme in United States history.
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Represented a corporation victimized by a rogue employee who embezzled over $400,000. Over half of the losses were recovered
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Represented the president of a national corporation in which the president was charged with wire fraud, mail fraud and making false statements to OSHA. After Jim filed a Motion to Suppress, the government dismissed all charges against Jim’s client.