Experience

Counsel in SEC Enforcement Action, Receivership

Served as securities litigation counsel and counsel to the receiver in an SEC enforcement action and receivership involving more than 50 corporate entities; facilitated a global resolution of related enforcement matters by the Consumer Financial Protection Bureau and state attorneys general.

Securities Class Action, SEC and DOJ Investigations

Represented the independent directors of a publicly traded bank in a securities class action and parallel SEC and DOJ investigations.

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.

Counsel to Broker-Dealer in FINRA Investigation

Represented the head trader of a broker-dealer in a FINRA investigation regarding Regulation SHO.

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.

Represented Hedge Fund in Federal Trial

Represented a hedge fund and its president in litigation against the SEC in a case alleging late trading and market timing of mutual funds, culminating in a 17-day federal court trial in New York.

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.

Counsel in FINRA, AAA Arbitrations

Represented broker-dealers and their associated individuals in several FINRA and AAA arbitrations.

Contact Us
  • Worldwide
  • Boston, MA
  • Denver, CO
  • Dublin, Ireland
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • London, England
  • Miami, FL
  • New York, NY
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
  • Washington, D.C.
  • Wilmington, DE
Worldwide
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Boston, MA
800 Boylston St.
30th Floor
Boston, MA 02199
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Boston, Massachusetts
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
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Denver, Colorado
Dublin, Ireland
Fitzwilliam Hall, Fitzwilliam Place
Dublin 2, Ireland
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Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
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Edwardsville, Illinois
Jefferson City, MO
101 E. High St.
First Floor
Jefferson City, MO 65101
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Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
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Kansas City, Missouri
Las Vegas, NV
1980 Festival Plaza Drive, Suite 750
One Summerlin
Las Vegas, NV 89135
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Las Vegas, Nevada
London, England
Royal College of Surgeons of England
38-43 Lincoln’s Inn Fields
London, WC2A 3PE
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Miami, FL
355 Alhambra Circle
Suite 1250
Coral Gables, FL 33134
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New York, NY
7 Times Square, 44th Floor
New York, NY 10036
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New York City skyline
Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
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Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
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Princeton, New Jersey
Salt Lake City, UT
201 South Main Street
Suite 750
Salt Lake City, UT 84111
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Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
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St. Louis, Missouri
Washington, D.C.
1050 Connecticut Avenue NW
Suite 500
Washington, DC 20036
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Wilmington, DE
1007 North Market Street
Wilmington, DE 19801
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Wilmington, Delaware