Regulatory Enforcement & Investigations
We offer advisory services in regulatory enforcement and investigations, drawing on deep experience supporting legal teams, government agencies, and global financial institutions through regulatory scrutiny, civil and criminal investigations, and monitorships. Our unique strength lies in the integration of legal expertise and advanced data analytics to uncover facts, mitigate risk, and deliver strategic solutions in matters involving fraud, financial crime, and compliance failures.
Our Regulatory Enforcement & Investigations services include:
Litigation support for white-collar criminal defense
Internal investigations and forensic data reviews
Regulatory remediation and compliance monitorship advisory
Predictive fraud analytics and risk mitigation strategies
Agency compliance audits and reporting
Coordination with law enforcement and regulatory bodies
We bring a proven track record advising on complex regulatory and enforcement actions. This work spans high-profile criminal cases, federal investigations, and multinational regulatory monitorships.
This includes working with the defense team in a federal RICO prosecution involving a large construction company based in the NY Metro area. The case stemmed from allegations of a decade-long over billing scheme across major projects, including the World Trade Center and the Javits Convention Center. Kurt was part of a team that integrated of data analytics with traditional investigative methods, using SQL, Python, R, and Tableau to analyze labor and payroll data, identify billing inconsistencies, and testing the government’s theory of the case. By triangulating quantitative evidence with qualitative inputs from traditional investigative methods, the team helped the defense build a compelling, data-informed narrative that challenged the prosecution’s assumptions and supported a more nuanced understanding of operational practices.
Similarly, as Special Assistant General Counsel and Chief Integrity Officer for the Kansas Department of Labor, Kurt oversaw a 15-person investigative unit responsible for fraud prevention and compliance across unemployment insurance programs. He implemented predictive analytics and data mining strategies to proactively detect fraud, leading to the state’s designation as a pilot site for the U.S. Department of Labor’s national analytics program. His leadership resulted in a 50% reduction in improper payments, elimination of a three-year investigation backlog, and $2.5 million in recovered funds. Kurt also ensured agency alignment with IPERA and FUTA requirements, overseeing investigations, interagency coordination, and representation in enforcement proceedings.
Kurt also played a key role in the landmark HSBC monitorship following the bank’s $1.9 billion settlement with the U.S. Department of Justice for anti-money laundering violations. As global workstream lead for compliance technology testing, Kurt managed multi-jurisdictional teams assessing the effectiveness of HSBC’s AML and sanctions systems. He led technical reviews of transaction monitoring logic, CDD platforms, and screening tools, evaluating system performance across regions and reporting to U.S. and international regulators. His work contributed directly to the monitor’s assessments of HSBC.
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We bring deep regulatory insight, technical rigor, and a multi-disciplinary team spanning law, compliance, analytics, and governance. Whether responding to regulatory actions, conducting investigations, or supporting ongoing enforcement obligations, we deliver clarity, defensibility, and actionable results across jurisdictions.