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Experience
Civil Litigation, Arbitration and Enforcement Proceedings
- Represented advisor to medical weight loss startup company in a U.S. District Court of the Southern District of New York litigation alleging trade secret misappropriation, including defense against consecutive temporary restraining orders (TROs).
- Represented cryptocurrency company in connection with enforcement action by the SEC relating to alleged unregistered offerings of securities.
- Represented financial advisor in connection with FINRA arbitration and parallel investigation relating to Form U4 disclosures and claims of unsuitable investment recommendations.
- Represented major multinational travel company in groundbreaking Delaware Chancery Court litigation concerning whether COVID-19 and aftermath constitutes a material adverse event or a departure from the ordinary course sufficient to avoid closing a multibillion dollar share sale.
- Represented brokerage firm in connection with multidistrict class-action federal litigation concerning the ISDAFIX benchmark rate.*
Government and Regulatory Investigations
- Representing multiple traders in FINRA investigations relating to allegations of spoofing.
- Representing multiple individuals in connection with regulatory inquiries and civil litigation concerning the purchase and sale of residential mortgage-backed securities (RMBS).
- Represented individual in connection with state attorney general investigation involving sexual harassment allegations.
- Represented multiple victims of investor fraud in parallel DOJ and SEC investigations.
- Represented brokerage firm in connection with industrywide CFTC investigation into the setting of the ISDAFIX benchmark rate.*
- Represented more than 20 executives and managers of a global bank in money laundering and Iran sanctions investigations by the DOJ, Manhattan district attorney, New York Federal Reserve, New York Department of Financial Services, New York attorney general, and an independent monitor.*
- Represented accounting department executives and managers in DOJ and SEC investigations of the accounting practices of a public company.*
- Represented a senior executive of underwriting firm in an SEC investigation relating to disclosures in municipal bond offering materials.*
- Represented a global bank in DOJ and SEC investigations and related prosecutions relating to undisclosed markups.*
- Represented multiple traders in FINRA investigations relating to best execution requirement.*
- Represented multiple financial advisors in FINRA investigations relating to Form U4 disclosures.*
- Represented chief engineer of automobile manufacturer in connection with criminal, regulatory, and civil inquiries into defect issues.*
Board Committees and Representation
- 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.*
Other
- Represented financial advisors in connection with Form U4 expungement actions.*
- Represented individuals in connection with Form U5 disclosures.*
*Prior experience
