Law Offices of Harlan J. Protass, PLLC

Practice Areas

Criminal Defense

Mr. Protass represents individuals and corporations in all phases of federal and state criminal investigations and prosecutions. His cases have involved a broad range of criminal matters, including securities fraud, insider trading, tax evasion, money laundering, antitrust price-fixing, enterprise corruption, embezzlement and larceny, structuring, perjury and obstruction of justice. Recent matters include:

• Successfully represented an executive of an international insurance company targeted for prosecution in a highly-publicized investigation by the New York Attorney General, which ultimately dropped its plan to pursue charges.
• Negotiated on behalf of an executive of a major private company in connection with a large-scale federal tax and money laundering investigation, resulting in a plea to lesser charges.
• Reached parallel plea agreements with the United States Attorney's Office for the Eastern District of New York and the Manhattan District Attorney's Office on behalf of an investment banker under investigation for securities fraud and money laundering.
• Represented securities industry professionals in connection with criminal investigations and prosecutions brought by the United States Attorney's Offices for the Southern and Eastern Districts of New York for a broad range of financial frauds, including securities fraud, insider trading and money laundering.
• Negotiated a favorable plea agreement on behalf of an executive of a medical billing company charged with structuring financial transactions, resulting in a non-custodial sentence.
• Obtained dismissal of charges against a foreign investor charged by the Queens District Attorney's Office with possession of ammunition at LaGuardia Airport.
• Made extensive factual presentation to prosecutors and negotiated favorable plea agreement on behalf of individual charged with extortion, resulting in a sentence that was less than half of what government initially sought in plea negotiations.
• Persuaded government to drop charges of securities fraud and money laundering and instead permit client to plead guilty to a single count of making a false statement, resulting in non-custodial sentence.

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Regulatory Matters

With a background of several years' work on Wall Street, Mr. Protass possesses a unique ability to understand the regulatory environment in which securities professionals operate. He has represented clients before a wide range of regulatory authorities, from the U.S. Securities and Exchange Commission to the New York State Department of Taxation. Recent matters include:

• Prepared a Wells submission on behalf of a financial industry executive targeted in an investigation into market-timing in the mutual fund industry that persuaded the SEC to discontinue its investigation and drop its plans for an enforcement action.
• Negotiated a favorable settlement agreement with the SEC on behalf of a high-profile internet stock promoter that avoided both criminal charges and private civil litigation.
• Preserved employment for and avoided charges against an individual targeted by the SEC in connection with investigation of securities training firm.
• Represented registered representatives of so-called "boiler room" brokerage firms under scrutiny by the SEC, NASD, NYSE and state securities regulators.

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Commercial Litigation

Mr. Protass represents individuals and corporations in commercial disputes involving claims of breach of contract, breach of fiduciary duty, fraud, tortious interference with contract and other causes of action in the business context. He also represents securities industry professionals in employment disputes. Recent matters include:

• Litigated a worldwide antitrust price-fixing conspiracy case in a federal multi-district proceeding and in twenty state proceedings on behalf of an international commodity manufacturer.
• Represented numerous securities industry professionals in employment disputes before arbitration panels of the NASD and NYSE.
• Obtained dismissal of defamation and other claims against union and union officials for conduct associated with picketing activity.
• Litigated commercial disputes on behalf of corporate clients involved in a broad range of industries and sectors.

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Law Offices of Harlan J. Protass, PLLC
305 Madison AvenueSuite 1301 | New York, New York 10165
tel (212) 922-1080 :: fax (212) 949-8255 ::