Advised a commodities trader in a regulatory investigation involving an alleged fraudulent investment scheme (more than $10 million), counseling on criminal exposure.
United States (Federal)
Financial Services
Representative Matter
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
Emergency NFA enforcement action against a commodity-pool adviser
Represented a registered commodity-pool adviser and its principal in an emergency NFA enforcement action before the Business Conduct Committee for alleged willful false statements and reporting violations.
United States (Federal)
Financial Services
Representative Matter
Executive expense investigation for a public company
Engaged by a public company's CEO to assist an audit-committee investigation into allegations concerning personal-versus-business expenses.
Declination
United States (Federal)
Financial Services
Representative Matter
Foreign-bribery evidence against a U.S. public company's subsidiary
Represents a whistleblower with first-hand evidence of bribes paid by a U.S. public company's subsidiary, supporting a potential FCPA enforcement action with exposure exceeding $30 million.
Cross-border
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
Going-private merger derivative defense
Defended derivative claims challenging the adequacy of the price and disclosures in a going-private merger.
Representative Matter
Securities class action defense
Defended a securities class action alleging false or misleading financial statements and FDA-related disclosures.
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
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).
