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Experience
Enforcement
- Successfully defended Fortune 500 company in SEC revenue recognition investigation
- Extensive FCPA investigative experience worldwide
- Defending entities and individuals in SEC pay-to-play investigations
- Representation of several corporations in auction-rate securities cases seeking damages and restitution of more than $100 million
- Defending corporate and individual defendants in a multi-level marketing case brought by the Federal Trade Commission
- Defense of a former CEO of a publicly-held corporation arising from allegations of insider trading
- Representation of a former senior executive in investigation relating to allegations of improper revenue recognition
- Successful defense of a corporate officer in market timing investigation
- Representation of firms and individuals in multiple Financial Industry Regulatory Authority (FINRA) arbitrations regarding alleged securities violations
Litigation
Exelon Generation Company v. General Atomic Technologies Corporation
U.S. District Court for the Northern District of Illinois
Brought breach of contract and fraud lawsuit against one of Exelon's uranium supplier seeking more than $80 million in damages; won summary judgment on breach of contract claim, defeated summary judgment on fraud claim, and settled favorably a month before trial.
Duthie v. Matria Healthcare Inc.
U.S. District Court for the Northern District of Illinois
U.S. Court of Appeals for the Seventh Circuit
Obtained injunction on behalf of former officers and shareholders precluding arbitration of claims arising from $450 million merger. In related Delaware Chancery proceeding, successfully obtained indemnification and advancement of all attorneys’ fees from former company, and obtained complete release of all claims against former officers and shareholders. 535 F. Supp. 2d 909; aff’d, 540 F.3d 533
Bojan, et. al. v. Infinium Capital Holdings, LLC
Defended former officers (CEO, COO, CTO) in securities fraud action.
Johansen, et. al. v. SLS Invest AB, et. al.
Defended majority investors in derivative and breach of fiduciary duty lawsuit.
