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.
