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Experience
Government and Regulatory Investigations and Proceedings
- Represented a global financial institution in U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) enforcement inquiries involving employees’ use of personal devices to send business-related text messages, resulting in settlements with both regulators.
- Represented numerous individuals in internal investigations and investigations by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and Financial Industry Regulatory Authority (FINRA) relating to the use of personal devices to send business-related text messages.
- Represented a broker-dealer in Financial Industry Regulatory Authority (FINRA) investigation relating to alleged execution of wash trades and/or self-trades on behalf of an institutional client, resulting in no penalty to client.
- Represented the chief operating officer of a broker-dealer in U.S. Securities and Exchange Commission (SEC) investigation relating to order routing disclosures to customers, resulting in no penalty to client.
- Represented a large global bank in U.S. Securities and Exchange Commission (SEC) investigations relating to allegations of insider trading and fraud.*
- Represented an employee of a global bank in an investigation by the U.S. Department of Justice (DOJ), the Federal Reserve, and numerous foreign regulators relating to bribery and money laundering allegations.*
- Represented a trader and a salesperson in U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) investigations of alleged false statements in residential mortgage-backed securities (RMBS) trading.*
- Represented a member of the finance department of a financial services company in a U.S. Department of Justice (DOJ) investigation regarding accounting fraud allegations.*
- Represented an employee of a public company in U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) investigations regarding accounting fraud allegations.*
- Represented a witness in the New Jersey federal district court regarding the George Washington Bridge lane closures.*
- Represented an in-house lawyer of a transnational bank in a Commodity Futures Trading Commission (CFTC) investigation.*
- Represented a brokerage firm in a Commodity Futures Trading Commission (CFTC) investigation concerning the ISDAFIX benchmark.*
- Represented an employee of a broker-dealer in a Financial Industry Regulatory Authority (FINRA) investigation into allegations of misleading Financial Industry Regulatory Authority (FINRA) staff.*
- Represented an individual in a federal criminal insider trading investigation and sentencing.*
- Represented the victim of investor fraud in a U.S. Department of Justice (DOJ) investigation and restitution proceedings.*
Internal Investigations
- Represented the audit committee of a public company in response to whistleblower allegations of self-dealing.*
- Represented the chief executive officer of a public company in connection with an internal investigation.*
- Represented a Barron’s Top 100 U.S. financial advisor in an internal investigation and Financial Industry Regulatory Authority (FINRA) inquiry relating to allegations of policy and rule violations.*
- Represented two board members and a senior executive of a public company in an audit committee investigation regarding accounting fraud allegations.*
- Represented a former employee of a financial institution in an internal investigation relating to the misappropriation of confidential material.*
Civil Litigation
- Obtained dismissal of all claims against a partner of a prominent law firm in securities fraud litigation brought in New York federal court by the U.S. Securities and Exchange Commission (SEC).*
- Represented an investment fund in a lawsuit alleging breach of contract and seeking reformation of contract for sale of portfolio company.*
- Represented special committee members of 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 the company private and squeeze out the interests of minority shareholders.*
- Represented numerous senior executives of leading financial institutions in litigation and a U.S. Department of Justice (DOJ) investigation arising out of the offer and sale of RMBS.*
*Prior experience
