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Experience
Significant Audit Committee Engagements
- Represented the audit committee of an alternative asset manager in a Foreign Corrupt Practices Act (FCPA) investigation involving several investments in Africa.*
- Represented the audit committee of a real estate investment trust (REIT) in an internal investigation and related criminal and Securities and Exchange Commission (SEC) investigations of embezzlement and other misconduct by the REIT’s former chief executive officer.*
- Represented audit committee members in an internal investigation and parallel criminal and SEC proceedings involving accounting irregularities identified by the company’s outside auditor.*
Significant Senior Executive Engagements
- Represented senior executives at a New York Stock Exchange (NYSE)–listed foreign company in connection with U.S. Department of Justice (DOJ) and SEC investigations of possible FCPA violations involving Eastern European subsidiaries.*
- Represented the chief executive officer of a public company in an internal investigation relating to the company’s restatement of several years of financial statements caused by an understatement of federal income tax payments.*
- Represented a senior corporate officer of a Fortune 500 company in an ERISA lawsuit, securities litigation, and criminal investigation that resulted in the convictions of the company’s chief executive officer and chief financial officer.*
- Represented the founder, sole owner, and chief executive officer of a hedge fund in connection with an SEC investigation of unlawful short selling.*
- Represented senior finance professionals of a broker-dealer in DOJ and SEC investigations of collateralized debt obligation (CDO) transactions.*
- Represented the portfolio manager of two mutual funds in parallel SEC and New York attorney general investigations of alleged front-running and inadequate fund disclosures relating to IPOs.*
- Represented a senior securities industry professional in criminal, SEC, and state investigations of market timing.*
Significant Professional Liability Matters
- Defended attorneys who conducted ERISA claims review as witnesses in ERISA class action litigation.*
- Obtained reversal of court order that found attorney in contempt and referred attorney to disciplinary proceedings.*
- Persuaded debtor to abandon malpractice claim against law firm and its former partner stemming from choice-of-law advice and conflicts allegations.*
- Obtained dismissal of claims against law firm and former partner based on allegation that partner submitted false declarations in a lawsuit.*
- Represented large law firm in the internal investigation of improper payments involving attorneys in several offices of the firm.*
- Successfully defended law firm and one of its partners in a New York attorney general investigation of fraudulent conduct by a former client and possible aiding and abetting claims against partner and law firm.*
- Successfully defended law firm in the investigation and criminal prosecution of attorneys and an accountant in connection with a conspiracy to promote fraudulent tax shelters.*
- Successfully defended law firm against possible aiding and abetting allegations in a criminal investigation and prosecution of law firm client relating to a fraudulent venture capital scheme.*
- Advised law firms, attorneys, and legal departments of corporations on risk management policies and procedures to mitigate professional liability claims and in internal investigations of possible professional misconduct.*
*Prior experience
