Ethics and Regulatory Compliance

/Ethics and Regulatory Compliance
Ethics and Regulatory Compliance2019-04-29T15:49:11-04:00
White Collar Defense and Regulatory Compliance

TRK Law’s ethics and compliance practice represents entities and individuals in government investigations, and we assist entities by conducting internal investigations and advising as to regulatory compliance issues. We represent public officials, nursing homes, doctors and all licensed professionals.  In addition, we represent attorneys that have complaints filed against them by COPS (Committee On Professional Standards). We have been counsel to the subjects of ethical complaints, complainants, and ethical boards themselves. Our law firm in Albany, NY makes us particularly suited to investigations and regulatory compliance matters touching upon New York State law.


We represent businesses, not-for-profit entities and individuals in investigations by federal and state criminal and regulatory agencies. These include investigations by U.S. Attorney’s offices, the New York State Attorney General’s Office and district attorney’s offices, as well as federal and state regulatory agencies.

We handle matters involving a wide array of white-collar criminal and regulatory issues, including investigations of

  • Public corruption and ethics violations
  • Securities fraud
  • Health care fraud
  • Tax evasion
  • Deceptive practices and consumer fraud
  • False Claims Act violations
  • Insurance fraud


We also conduct internal investigations for publicly-traded and privately-held entities, as well as not-for-profit entities. TRK Law is a whistleblower law firm. We can conduct a fact-finding investigation and advise as to the legal implications of the results, address regulatory and litigation risks and recommend remedial steps. Investigations may address

  • Whistleblower complaints
  • Employee misconduct
  • Breach of fiduciary duty
  • Regulatory violations
  • Due diligence inquiries

William J. Keniry
Phone: (518) 512-5304

Thomas R. Fallati
Phone: (518) 512-5307