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
SEC subpoena and PCAOB examination for an accounting firm
Defended a public accounting firm in an SEC subpoena response and a PCAOB examination concerning its audit workpapers.
Representative Matter
Parallel SEC and FINRA investigation of an investment adviser
Represents a registered investment adviser and its principal in a parallel SEC and FINRA investigation arising from a customer complaint involving alleged overbilling and improper gifts (approximately $5 million).
United States (Federal)
Healthcare
Financial Services
Representative Matter
Pre-filing resolution of an alleged $1.2M investor-fraud matter
Represented a company and its principal in an SEC enforcement matter alleging $1.2 million in investor fraud through false press releases; handled pre-filing settlement negotiations.
Settlement
United States (Federal)
Financial Services
Representative Matter
SEC action against a former public-company CEO and CFO
Represents the former chief executive and chief financial officer of a technology company in an SEC enforcement action alleging $30 million in securities fraud based on material misrepresentations and omissions.
United States (Federal)
Financial Services
Representative Matter
SEC action alleging a $35M securities-fraud and Ponzi scheme
Represents a client and a related holding company in an SEC enforcement action alleging a $35 million securities-fraud and Ponzi scheme.
United States (Federal)
Financial Services
Representative Matter
SEC action over an alleged $500M+ investment program
Represented an individual and a related family trust in an SEC enforcement action arising from an investment program that allegedly raised more than $500 million from investors. The trust was placed into receivership in August 2021; the individual settled the matter in November 2022.
Settlement
United States (Federal)
Financial Services
Representative Matter
SEC administrative action over alleged false revenue statements
Represents a company and its chief executive in an SEC administrative action alleging the company made false statements about its revenue to investors. The SEC is evaluating a potential federal enforcement action.
United States (Federal)
Financial Services
Representative Matter
SEC books-and-records investigation of a fund accountant
Represents a senior accountant at an investment-fund manager in a formal SEC books-and-records and accounting investigation.
