Partners Karen R. King and Thomas A. McKay Update Their Chapter in Global Investigations Review: The Practitioner’s Guide to Global Investigations

October 31, 2025  |  Global Investigations Review

Morvillo Abramowitz Grand Iason & Anello PC partners Karen R. King and Thomas A. McKay updated their chapter entitled “Individual Penalties and Third-Party Rights: The US Perspective” in the Global Investigations Review treatise The Practitioner’s Guide to Global Investigations.

In the United States, individuals can become the focus of investigations by a wide range of federal and state regulators and law enforcement agencies, many of which may pursue parallel criminal, civil, or regulatory actions based on the same conduct. The Department of Justice (DOJ) and other agencies exercise broad prosecutorial discretion, often emphasizing individual accountability in corporate misconduct cases. Parallel proceedings—such as those brought by the DOJ, SEC, CFTC, or state attorneys general—are common, particularly in areas like financial crime, cryptocurrency, and sanctions enforcement. The chapter also explores how these agencies share information, the implications for third parties involved in investigations, and the range of penalties individuals may face, from imprisonment and fines to asset forfeiture and regulatory restrictions.

To read this chapter, click here.