Disgorgement settlement with a receiver in a parallel securities investigation
Counseled a subject of a parallel SEC and U.S. Attorney's Office securities investigation, negotiating a settlement of disgorgement exposure with the SEC receiver.
Settlement
United States (Federal)
Financial Services
Representative Matter
Investment-adviser fee-fraud investigation
Investigated and advised an investment adviser facing civil fraud allegations of charging improper fees to high-net-worth clients (more than $10 million), counseling on both civil and potential criminal exposure.
United States (Federal)
Financial Services
Representative Matter
SEC emergency action over an alleged $100M crypto Ponzi scheme
Represents the co-founder of a cryptocurrency fund that held roughly $150 million in assets, in an SEC emergency enforcement action alleging a $100 million Ponzi scheme. Managing simultaneous parallel criminal exposure in the Southern District of Florida.
United States (Federal)
Financial Services
Cryptocurrency & Digital Assets
Representative Matter
U.S. public-company restatement investigation
Represents a Latin America-based employee of a U.S. public company in an SEC and DOJ accounting-restatement investigation involving restatements exceeding $100 million. Referral from an Am Law 20 law firm.
