Summary Judgment for Public Firearms Company in Securities Class Action
Obtained summary judgment and circuit court affirmance on behalf of public firearms company on all claims in securities class action alleging misrepresentations associated with a series of public statements regarding the level of demand for the company’s products.
Secured Dismissal of Multiple Derivative Shareholder Suits Against Publicly Traded Firearms Company
Secured dismissal of three derivative shareholder suits (in federal and state court) against a public firearms company.
Dismissal of SEC Claims Against Major Financial Institution Director
Obtained dismissal and circuit court affirmance of SEC claims against a former managing director of a major financial institution.
Jury Verdict for Defendant in SEC Enforcement Action
Obtained a jury verdict in favor of broker defendant in SEC enforcement action alleging stock fraud and manipulation following two-week trial in federal district court.
Successful Representation in ADR and Litigation Involving Interest Rate Swaps and Derivative Transactions
Represented a number of institutional clients in alternative dispute resolution and litigation involving interest rate swaps and derivative transactions associated with a global financial services firm’s bankruptcy.
SEC Enforcement Investigation Concerning Alleged FCPA Violations
Represented public corporation in SEC enforcement investigation concerning alleged violations of the Foreign Corrupt Practices Act (FCPA).
SEC Enforcement Investigation for Pharmaceutical Company
Represented private specialty pharmaceutical company in SEC enforcement investigation concerning alleged fraudulent misrepresentations and omissions to prospective investors.
Dismissal of Claims Against Financial Analyst in NYSE Enforcement Proceeding
Dismissal of fraud and misrepresentation claims asserted against financial analyst in New York Stock Exchange (NYSE) enforcement proceeding regarding newly implemented NYSE rules involving trading during blackout periods.
Favorable Settlement for Exploration/Mining Corporation in Corporate Control Matter
Represented public mineral exploration, mining and claims acquisition corporation specializing in rare earth elements in litigation involving corporate control issues resulting in a favorable settlement for the corporation.
Favorable Settlement for Trading Firm in CFTC Enforcement Action
Represented foreign exchange trading firm in enforcement action initiated by the U.S. Commodity Futures Trading Commission (CFTC) resulting in a favorable settlement for trading firm.
Representation of National Broker-Dealer Facing Claims Related to Collateralized Debt Obligations
Represented national broker-dealer in connection with hundreds of customer claims arising from proprietary investment products involving various grades of collateralized debt obligations.
Rare Vacatur of Arbitration Award
Obtained rare vacatur of arbitration award by the U.S. Court of Appeals for the First Circuit.
Representation of IT Company in SEC Investigation Regarding Wrongdoing in Singapore, China
Conducted internal investigation and represented information technology and services company in SEC investigation regarding potential wrongdoing by employees in Singapore and mainland China (including smuggling, customs, tax and accounting violations). Self-reported to relevant Singapore and China regulatory authorities in conjunction with same.
Representation of CEO, Managing Principal of Hedge Fund in SEC Proceeding
Represented chief executive officer and managing principal of emerging markets hedge fund in SEC enforcement proceeding concerning alleged misappropriation of investor funds and misrepresentations and omissions to fund investors.
Representation for Startup in SEC Enforcement Proceeding Alleging Fraud Scheme
Represented counsel to startup in SEC enforcement proceeding concerning alleged fraudulent scheme to disguise public stock sales by corporate affiliates.