Experience
Dismissal of Delaware Shareholder Derivative Suit Against International Public Company
Obtained Motion to Dismiss in a Delaware shareholder derivative action against an international public company in the travel and travel booking field.
Obtained Successful Declination of SEC and DOJ Enforcement Actions Against NYSE-Traded Company
Conducted an international internal investigation on behalf of a NYSE-traded company that spanned several years and over eight countries. After inquiry, the SEC and DOJ closed their investigations into the matter in reliance of our internal investigative findings and conclusions.
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.
Representation of Hedge Fund Principals in Bankruptcy and Post-Bankruptcy Proceedings
Ongoing representation of founding members and principals of a global hedge fund in bankruptcy proceedings, as well as in civil criminal proceedings , pending worldwide.
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).
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 Mutual Fund Portfolio Trader in SEC Enforcement Action
Represented mutual fund portfolio trader in SEC enforcement action concerning SEC claims brought under the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Dismissal in First-Ever Enforcement Action Alleging Broker-Dealer Market Timing Violations
Obtained dismissal of SEC complaint in first-ever SEC enforcement action alleging broker-dealer market timing violations.
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.
Summary Judgment for Global Company in Multimillion-Dollar Securities Class Action
Obtained summary judgment and federal circuit affirmance for a global company on all claims in securities class action alleging hundreds of millions of dollars in damages arising from alleged securities fraud.
Numerous Motions to Dismiss in Derivative Shareholder Suits
Granted numerous motions to dismiss in a number of derivative shareholder suits brought nationwide against various publicly traded companies and their officers and directors.
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.
Jury Verdict in Manipulation and Fraud Trial
Obtained a jury verdict against the SEC in favor of broker defendant in manipulation and fraud following trial in federal district court.
Dismissal of SEC Fraud and ERISA Claims
Obtained dismissal and federal circuit affirmance of SEC fraud claims against a former managing director of a global financial institution involving ERISA and securities fraud matters.
