|
Experience
Significant Institutional Representations
- Representing retail company in U.S. Securities and Exchange Commission (SEC) investigation regarding trading in company’s securities.
- Representing global bank in asset recovery litigation brought against former employee who embezzled funds and family members who aided and abetted embezzlement.
- Representing founder and corporate seller of technology company in dispute with buyer of company, pending in both New York and Delaware state courts, concerning representations in purchase agreement.
- Represented public company board committee in internal investigation concerning accounting issues and activist investor.
- Defended exchange-traded fund company and related index provider in New York state court litigation and subsequent arbitration brought by minority investor.
- Represented blockchain-based company in dispute with former consultant regarding alleged entitlement to tokens.
- Advised blockchain-based company with respect to U.S. securities law compliance.
- Represented hedge fund in industry-wide SEC investigation concerning trading in certain pharmaceutical company stocks.
- Defended European bank in New York state court litigation brought by alleged beneficial owner of corporate account held at Italian branch.
- Represented board committee of leading brand management company in internal, SEC, and U.S. Department of Justice (DOJ) investigations of revenue recognition and other accounting issues.
- Represented hedge fund in connection with insider trading and market manipulation allegations made by French financial markets authority.*
- Represented brokerage firm in internal investigation and potential regulatory investigation concerning possible insider trading.*
- Represented major securities firm in industrywide Financial Institution Regulatory Authority (FINRA) investigation concerning research analyst communications with issuers and sponsors in connection with initial public offerings (IPOs).*
- Represented hedge fund in SEC investigation regarding collateralized debt obligations (CDOs) backed by subprime mortgage assets.*
- Represented public company board committee in internal investigation regarding allegations of insider trading made by an institutional shareholder.*
- Represented private equity funds in internal investigation regarding management of real estate investments.*
- Represented major financial services corporation in putative antitrust class actions alleging price-fixing conspiracy and manipulation in auction rate securities market.*
- Represented securities firm in litigation with counterparty bank concerning disputed credit default swap in subprime mortgage-backed securities market.*
- Represented medical nutrition company in DOJ investigation concerning alleged Medicare fraud in enteral nutrition industry.*
- Represented securities firm in SEC Foreign Corrupt Practices Act (FCPA) investigation concerning Latin American sovereign debt transactions.*
Significant Individual Representations
- Representing founder and former CEO of technology company in federal court action based on company’s failure to honor contractual stock options.
- Represented senior executive of global bank in DOJ and SEC investigation regarding allegedly illegal transactions and money transfers by Latin American clients.
- Represented former company chief financial officer in New York attorney general investigation regarding alleged false statements in company's federal and state tax returns.
- Represented former senior executive of large financial institution in connection with DOJ, SEC, the Commodity Futures Trading Commission (CFTC), Federal Reserve, and Congressional investigations relating to trading losses in synthetic credit portfolio.*
- Represented former securities firm executive in criminal investigation and prosecution based on third-party theft of client funds.*
- Represented former Swiss private banker in criminal investigation and prosecution alleging aiding and abetting of U.S. clients in evading taxes.*
- Represented former senior executives and traders at major securities firms in DOJ, SEC, and New York attorney general investigations concerning residential mortgage-backed securities (RMBS) and CDOs.*
- Represented former head of bank's municipal derivatives sales desk in DOJ, SEC, and Office of the Comptroller of the Currency (OCC) investigations concerning alleged anticompetitive practices in municipal derivatives market.*
- Represented executive at large manufacturing company in DOJ antitrust and FCPA investigations concerning marine hose industry.*
- Represented leading telecommunications industry research analyst at major securities firm in DOJ, SEC, New York attorney general, National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) investigations concerning alleged analyst conflicts of interest.*
Significant Amicus Representations
- Representing prosecutor group in brief addressing policy problems stemming from failure of DOJ and federal bureau to regulate gun-building kits as firearms; submitted to federal district court.
- Represented antitrust economists in brief addressing methodology for evaluating competitive impact of mergers; submitted to federal district court in communications industry merger litigation.*
- Represented financial economists in brief addressing standards for evaluating efficiency of securities markets; submitted to U.S. Court of Appeals for the Second Circuit in petroleum company securities litigation.*
- Represented former SEC officials in brief addressing policy and tolling arguments in connection with statute of limitations; submitted to U.S. Supreme Court.*
- Represented former prosecutors in brief addressing systemic and unconstitutional deficiencies in state's system for provision of legal services to indigent defendants; submitted to New York Court of Appeals.*
*Prior experience
