Represents financial institutions, corporations, investment managers and their individuals in white collar and regulatory investigations.
Advises on a broad array of financial services enforcement matters, both in the U.K. and on a cross-border basis.
Counsels multinational companies in connection with internal investigations and whistleblowing issues.
Joe is ranked in both Chambers UK and The Legal 500 where clients describe him as an “extremely effective lawyer that is easy to work with on a personal level.”
Joe is a member of Akin’s global white collar practice and the London financial services regulatory team. He advises financial institution and investment management clients, including their C-suite executives, in connection with investigations and proposed enforcement action brought by the U.K. Financial Conduct Authority (FCA) and other financial regulators. He has recent experience defending clients before the Regulatory Decisions Committee, Upper Tribunal (Tax & Chancery) and the Court of Appeal.
Joe works closely with Akin’s white collar team in the U.S. on cross-border investigations and disputes, including those pursued by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), the Commodity Futures Trading Commission (CFTC) and the Bureau of Industry and Security (BIS).
Joe also regularly conducts internal investigations, which often arise through whistleblowing, both in the financial services sector and beyond.
In addition to his investigations work, Joe has experience of advising clients on the application of the U.K. regulatory framework. This includes counselling on transactional matters, including change in control applications, authorizations and approvals, regulatory change projects, and market conduct and governance.
Representative Work
Represented BlueCrest Capital Management (U.K.) LLP in connection with an enforcement action brought by the U.K. FCA.
Conducted an internal investigation on behalf of a global firm into allegations of accounting improprieties and fraudulent behaviour at multiple subsidiary entities.
Represented a large U.K. firm in respect of proceedings pursued by HM Revenue & Customs.
Advised a senior individual at a global investment bank in connection with an internal investigation into allegations of bullying and harassment.
Advised a leading financial institution in a significant CFTC investigation arising from regulatory reporting and supervision issues.
Represented British citizens (as witnesses and defendants) in multiple proceedings brought by the U.S. Department of Justice.
Represented a significant financial institution in connection with a regulatory enforcement action pursued by the U.S. SEC and the U.K. FCA.