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Experience
Litigation and White Collar Defense
- Secured dismissal of SEC insider trading claim in SEC v. Garcia et al on summary judgment where the SEC alleged defendant traded on inside information ahead of an announced corporate takeover. Judge ordered release of frozen assets and lifted injunction previously obtained by the SEC.
- Successfully represented The Boeing Company and two of its senior executives in the highly-publicized securities class action litigation related to the 787 Dreamliner airplane and obtained the dismissal of the case with prejudice.
- Represented Google in negotiating a NPA (non-prosecution agreement) with the U.S. Attorney's Office for the District of Rhode Island related to Canadian online pharmacy ads.
- Represented multiple companies in disputes related to Auction Rate Securities (ARS).
- Served as lead counsel for a court-appointed receiver in a SEC-related matter in Federal Court.
- Represented individuals and companies in FINRA investigations.
- Represented numerous individuals and companies in criminal matters involving allegations of fraud (mail, wire, securities, bank, mortgage, and tax), money laundering, and criminal forfeiture.
- Represented and counseled individuals facing simultaneous actions by multiple regulators, including the SEC, CFTC, Federal Reserve, IRS, FINRA, Illinois Department of Securities, and various state prosecutors.
- Represented multiple school districts in DOJ and SEC investigations involving issuance of municipal bonds. All matters, including some post-Wells with the SEC, resulted in no enforcement action.
DOJ, SEC, CFTC & Other Regulatory Investigations
- Represented officer at Investment Advisor in SEC investigation of investment in $800 million fraudulent scheme. Successfully argued for no enforcement action following a Wells Notice.
- Represented a trading firm and traders in DOJ and CFTC inquiries relating to alleged “spoofing” violations.
- Represented a proprietary trading group in a CFTC investigation concerning alleged “wash trades.” Enforcement staff determined not to pursue action against our client.
- Represented officers and directors in SEC investigations concerning insider trading, Ponzi schemes, internal controls, revenue recognition issues, and investment advisory fraud, while also assessing and dealing with possible criminal exposure.
- Represented a Mexican corporation in connection with a DOJ investigation into alleged money laundering that was ultimately closed with no adverse action taken.
- Represented Mexican corporation in securing release of an Office of Foreign Assets Control (OFAC) blocking order.
- Represented multiple corporations in SEC and DOJ investigations related to data privacy and security issues involving their users’ information and content.
Internal Investigations & Compliance
- Conducted multiple internal investigations for Fortune 500 companies on FCPA, Travel Act, and bribery/corruption issues, and conducted FCPA compliance training for multiple multinational companies.
- Conducted internal investigations for a multinational Fortune 500 company involving antitrust issues and the FTC; provided counsel on both civil and criminal exposure and effective remediation efforts.
- Conducted investigation for public company of its options granting practices.
- Provided counseling to counsel for multinational company on FCPA exposure based on recent changes in DOJ/SEC enforcement efforts.
- Conducted internal investigation for U.S. multinational corporation on money laundering, import/export trade, possible violation of local laws, and other compliance issues in Mexico, and advised on potential civil litigation exposure.
- Advised U.S. multinational on multiple compliance issues in Mexico, including OFAC, anti-bribery, and money laundering.
- Conducted internal investigations and risk assessments for U.S. multinational corporation in Argentina related to anti-bribery, books and records, and import/export issues.
