Advising Broker-Dealers, Investment Advisers and Registered Representatives in SEC, FINRA and State Enforcement and Registration Matters

Represented major brokerage firms, independent broker-dealers, federal- and state-covered investment advisers and registered representatives in regulatory exam, registration or enforcement matters, and litigation involving the U.S. Securities and Exchange Commission, FINRA and numerous state securities regulatory agencies.

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.

Representation of Limited Partnership Involving Investments in Electricity Contracts and Independent System Operators

Represented Limited Partnership regarding trading strategy and investment in various energy contracts offered at ISO (Independent System Operator) and RTO (Regional Transmission Organization) and resulting regulatory and registration issues involving SEC and CFTC.

Asset and Property Recovery for Foreign Businessman, Entity

Represented foreign businessman and Lichtenstein, Germany-based entity to recover assets and property misappropriated by defendant joint venture partners, in both the U.S. and abroad.

Favorable Settlement for Health Care Provider in Data Breach

Represented health care provider involving cyberattack and unauthorized data breach resulting in favorable settlement with Connecticut regulators and third-party service providers.

Representation of Center for Independent Living in Investigation by Maine Attorney General

Represented center for independent living in connection with investigation by Maine Attorney General (Healthcare Crimes Unit, the designated Medicaid Fraud Control Unit for the State of Maine) into potential fraudulent activities involving attendant care services.

No Action Taken by SEC in Insider Trading Investigation

Represented public firearms company in connection with SEC insider trading investigation resulting in no action taken by the SEC.

Representation of Manufacturer in Alleged False and Misleading Advertising Case

Represented manufacturing company specializing in energy recovery ventilation involving allegations of false and misleading advertising.

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  • New York, NY
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  • St. Louis, MO
  • Washington, D.C.
  • Wilmington, DE
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Boston, MA
800 Boylston St.
30th Floor
Boston, MA 02199
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Boston, Massachusetts
Chicago, IL
100 North Riverside Plaza
Suite 1500
Chicago, IL 60606-1520
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Chicago, Illinois
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
7160 Rafael Rivera Way
Suite 320
Las Vegas, NV 89113
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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 1200
Coral Gables, FL 33134
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New York, NY
7 Times Square, 44th Floor
New York, NY 10036
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Orange County, CA
19800 MacArthur Boulevard
Suite 300
Irvine, CA 92612
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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
222 South Main St.
Suite 1830
Salt Lake City, UT 84101
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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.
1717 Pennsylvania Avenue NW
Suite 400
Washington, DC 20006
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Wilmington, DE
1007 North Market Street
Wilmington, DE 19801
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Wilmington, Delaware