Experience
Counsel to Broker-Dealer in FINRA Investigation
Represented the head trader of a broker-dealer in a FINRA investigation regarding Regulation SHO.
Provided Counsel to Medical Supply Company in Connection with Pandemic Related Policies and Procedures
Assisted medical supply company with a comprehensive update of policies, including on issues such as anti-price-gouging measures and compliance with ever-changing COVID-19 regulations.
Represented Broker-Dealer in FINRA Investigation
Represented a broker-dealer in a FINRA investigation regarding research analyst rules.
Counsel to Portfolio Manager in SEC Investigation
Represented a mutual fund portfolio manager in an SEC investigation regarding cross-trades and odd-lot purchases of fixed-income securities.
Secured Motion to Dismiss in Securities Class Action
Represented a public company in a securities class action in which the court granted our motion to dismiss the complaint.
Counsel for Russian Bank in CFTC Investigation
Represented a Russian bank and its U.K. subsidiary in a CFTC investigation of currency futures trading.
Represented U.K. Bank Trader in DOJ Investigation
Represented the head trader of a U.K.-based bank in a DOJ investigation into possible antitrust violations arising from foreign exchange trading.
Counsel for Dual Registrants in Investigations
Represented several dual registrants (B-D/IA) in investigations by the SEC, FINRA and various state regulators concerning alternative investments, complex products, illiquid investments, trading/clearing issues and the duties owed under different regulatory regimes.
Special Investigative Counsel in Bankruptcy
Acted as special investigative counsel to the trustee in a bankruptcy matter involving large financial institutions.
Cross-Border Internal Investigation for Manufacturing Company Regarding Alleged Officer Embezzlement
Conducted an internal investigation for the holding company of a multinational manufacturer in response to allegations of embezzlement by company officer.
SEC, FINRA Investigations of Branch Managers
Represented several branch managers in SEC and FINRA investigations regarding possible failure to supervise.
Counsel in SEC Insider Trading Investigations
Represented several officers, directors and employees of public companies in SEC investigations into possible insider trading in company stock.
Investigations into Potential Securities Law Violations
Conducted internal investigations of public companies and broker-dealers regarding potential securities law violations.
Counsel to Mutual Fund Advisers
Advised several mutual fund advisers on SEC investigations.
Counsel in SEC Investigations, Securities Class Actions
Represented several public companies, mutual funds, and their officers and directors in SEC investigations and securities class actions.
Successfully Defended Client in Wrongful Death Case
Conducted the investigation and successfully represented a national fast-food delivery company in a high-profile wrongful death case stemming from a shooting that occurred at one of the client's restaurants.
Favorable Settlement for Client in Environmental Violations Case
The state of Missouri sued our client for environmental regulatory violations and illegal hazardous waste dumping, seeking nearly $3 million to settle the case. Developed evidence through an internal investigation that directly contradicted the state’s primary evidence, resulting in a favorable settlement of only $10,000 for our client.
Patient Safety Organization Program Development, Implementation for Health System
Assisting a large health care system with developing and implementing a Patient Safety Organization program to ensure the privileged nature of its internal investigation materials.
Conducted Investigation, Delivered 100+ Page Report in Criminal Health Care Fraud Case
Represented a Medicare Advantage plan in connection with a criminal health care fraud investigation by the U.S. Attorney’s Office and Office of Inspector General, Department of Health and Human Services, and drafted a 100+ page internal investigation report that was delivered to the Board of Directors.
Internal Investigation for Manufacturer Following Sexual Harassment Complaints
Conducted an internal investigation for a high-tech manufacturing company in response to an employee’s complaint of sexual harassment and inappropriate conduct against a manager.
Selected to Assist OIG DHS as Directed by IL Governor in Investigation of Veterans' Home
Selected to assist the Office of the Inspector General for the Department of Human Services (OIG DHS), as directed by Illinois Gov. J.B. Pritzker, in conducting an investigation into the Fall 2020 COVID-19 outbreak at the LaSalle Veterans’ Home in LaSalle, Illinois, and in preparing a summary report. To ensure the investigation considered all relevant information, the investigative team spoke with Home personnel, including management and front line staff. In addition, the investigative team interviewed officials with the Illinois Department of Veterans' Affairs, the Illinois Department of Public Health, and the U.S. Department of Veterans Affairs, and reviewed hundreds of documents.
Counsel Related to Investigations, Enforcement Actions Against Australian Financial Firms, Corporates and Individuals
Carriage of investigations into, and enforcement actions against, Australian financial firms, corporates and individuals.
Counsel Related to Investigations, Enforcement Actions Against U.K. Financial Firms and Senior Managers
Carriage of investigations into, and enforcement actions against, U.K. financial firms and their senior management.
Led Governor-Ordered 35-Day Investigation of Missouri Veterans Homes After COVID-19 Outbreak
Selected to conduct a rapid, independent, external review of seven Missouri Veterans Homes – as ordered by Gov. Michael Parson – to assess their performance and identify what steps, if any, should be taken to improve their management and prevention of COVID-19. Led a 35-day investigation that considered all relevant information, including interviewing 174 individuals including Missouri Veterans Commission (MVC) staff, Veterans, Veterans’ families and Missouri government officials; implementing a hotline staffed by attorneys for Veterans’ families to voice concerns; reviewing and analyzing hundreds of documents; directing a management and consulting organization serving clients in the long-term care and post-acute care industry, to conduct on-site audits of all seven Homes, following all necessary safety protocols; and issuing early recommendations to the MVC. Compiled and delivered a 53-page summary report and a comprehensive 415-page report, including recommended corrective actions, to state officials.
Representation of Higher Education Institution in Development of Training, Reporting Procedures
Represented higher education institution in development of training and reporting procedures related to Title IX sexual assault misconduct policies.
Representation of Major Home Health Care Agency in Investigation Relating to Billing Requirements, Compliance
Represented a major home health care agency in an internal investigation relating to Medicare and Medicaid billing requirements and adequacy of compliance controls.
Representation of Major International Pharma Company in Internal Investigation
Represented a major international pharmaceutical company in an internal investigation related to a patient support program that provides financial assistance to Medicare patients.
Representation of Pharma Company in Sales, Marketing Practices Investigation
Represented a pharmaceutical company in an investigation of sales and marketing practices.
Dismissal of Patent Claims with Prejudice for Telecom Company
Successfully defended client against patent infringement claims brought by non-practicing entity, resulting in the plaintiff voluntarily dismissing its claims with prejudice.
Provided Counsel to Pharma Company in Connection with Policies and Procedures
Assisted a major pharmaceutical company with a comprehensive update of policies, including on issues such as interactions with health care providers, sponsorships, educational grants, exhibits and charitable donations, to ensure compliance with federal regulations and industry practice.
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