Mr. Frankel has focused on the defense of white collar criminal prosecutions, SEC, CFTC, and FINRA enforcement actions and arbitrations, and other administrative agency proceedings for more than 30 years.
Mr. Frankel’s recent matters include representation of both individuals and corporations in cases alleging market manipulation, breach of fiduciary duty, false and misleading disclosures, and other improper practices in the securities industry; accounting fraud; and pharmaceutical industry irregularities. Recent representative matters include the representation of the former Chairman and CEO of a major investment bank in federal securities and ERISA class action litigations and before the Financial Crisis Inquiry Commission; representation of a senior scientist of a major U.S. pharmaceutical company in a federal criminal investigation of potential violations of the Food, Drug, and Cosmetic Act; representation of the former Chairman and CEO of a major drug manufacturer in a federal criminal investigation of allegations of misbranding and health care fraud; representation of the Chief Accounting Officer of a Fortune 100 company in an SEC investigation; representation of a senior trader of a major investment bank in SEC and DOJ investigations relating to municipal bonds and derivatives; representation of a technology company Chief Financial Officer in SEC and DOJ options backdating investigations; and representation of a hedge fund in SEC and New York Attorney General investigations of market timing of mutual funds. In addition, Mr. Frankel has conducted internal corporate investigations and defended individuals and entities, including accounting and investment firms, in complex civil litigations. Mr. Frankel is the author of papers and publications on white collar crime, internal corporate investigations and compliance programs.
From 1976-1978, Mr. Frankel was a Yale-China Association Fellow and Instructor in English Language and Literature at the Chinese University of Hong Kong.