Favorable Settlement for Clients Regarding Sale of Unlicensed Securities
Represented clients charged with sale of unlicensed securities in relation to a billion-dollar real estate investment fund and Ponzi scheme. Secured favorable settlement with the Securities and Exchange Commission to the satisfaction of the clients.
Acquittal for Client in Securities Fraud Case
Secured acquittal for client in securities fraud case brought by the Utah State Division of Securities. Client faced four counts related to soliciting investors for a startup business, including absconding with investor funds, committing securities fraud and sale of an unregistered security. After a jury trial, the client was found not guilty on all counts.
Representing Compliance Officer in Money-Laundering Investigation
Representing the compliance officer for a securities brokerage firm in a multiyear investigation regarding an alleged money-laundering operation.
Investigation into Sale of Unlicensed Securities
Representing client in an investigation by securities regulators in multiple states regarding the sale of unlicensed securities related to two national Ponzi schemes.