|
Experience
Parallel Proceedings
- Represented senior executives of leading financial institutions in SEC and DOJ investigations and numerous related litigations arising out of the offer and sale of residential mortgage-backed securities.*
- Represented sales executives and traders in multinational foreign exchange trading investigations and civil litigations.*
- Represented executives in DOJ and SEC proceedings relating to allegations of insider trading.*
- Represented numerous senior securities industry professionals and hedge funds in SEC investigations and parallel civil litigations concerning collateralized debt obligation (CDO) and other structured products transactions.*
- Represented senior executives in SEC and DOJ investigations, and related civil litigations, concerning allegations of accounting fraud.*
- Represented broker-dealer in SEC and DOJ investigations relating to allegations of wash trades, spoofing and other forms of market manipulation.*
- Represented large broker-dealer and its managers in SEC and DOJ investigations concerning fraud and misappropriation of client assets.*
Law Firm Defense
- Represented an Am Law 25 law firm in malpractice litigation involving a corporate takeover.*
- Represented an Am Law 100 law firm in litigation involving the restructuring of a defaulted debt facility.*
- Represented the partner of a prominent law firm in securities fraud litigation brought in federal court by the SEC.*
- Represented the general counsel of a Fortune 500 company in parallel DOJ, SEC, and civil litigations relating to corporate disclosures.*
- Represented legal counsel in an SEC investigation concerning the sales of unaffiliated stock under Section 5 of the Securities Act.*
- Represented legal counsel in civil litigation relating to the adequacy of disclosures in investor offering materials.*
Board Committees and Board Members
- Represented a demand committee of a global financial services institution with respect to shareholder derivative demands alleging that officers and directors breached their fiduciary duties by failing to respond adequately to red flags of money laundering violations.*
- Represented the special litigation committee of the board of a Fortune 500 public bank in an investigation of shareholder derivative demands relating to allegations that directors and officers violated their fiduciary duties and made false and misleading financial disclosures concerning compliance with federal mortgage underwriting standards.*
- Represented special committee members of a digital signage company in a securities class action brought in the Delaware Court of Chancery alleging that they breached their fiduciary duties by approving transactions allowing company insiders to take company private and squeeze out the interests of minority shareholders.*
- Represented an audit committee of a publicly traded company in an investigation of accounting fraud allegations.*
Court-Appointed Receiverships
- Served as the court-appointed receiver in a Federal Trade Commission (FTC) complaint alleging false and unsubstantiated potential earnings claims against a business opportunity promoter.*
- Served as the court-appointed receiver in a case alleging failure to provide COBRA continuation coverage, breach of fiduciary duty under ERISA, and breach of employment agreement.*
- Served as lead counsel to the receiver in a high-profile securities fraud case brought by the SEC.*
- Served as lead counsel to the independent examiner in an antitrust case against a major computer manufacturer.*
*Prior experience
