- Advised multiple Fortune 500 and 1000 companies during complex, privileged computer crime investigations requiring a crisis response. These investigations involved various legal issues, including potential data breach notification obligations under state, federal, and international laws. Worked with independent forensic investigators to respond to sophisticated cyber-threat actors. Specific engagements have included multinational data breaches, cyber-enabled fraud, and ransomware.
- Advised multiple SEC-registered investment advisers, broker-dealers, and public companies on their cybersecurity policies and procedures, including their incident response plans. Conducted tabletop exercises of clients’ incident response plans.
- Providing ongoing advice to a global logistics and supply chain management company on incident response and regularly works with subject-matter experts to analyze security and compliance impacts of a variety of incidents and practices.
- Assisted health care plans and insurance companies in their incident response efforts and follow-on regulatory inquiries, including two of the largest HIPAA data breaches in 2018.
- Advised an insurance broker and risk management firm with multiple affiliates and covered entities in the development and implementation of its cybersecurity program in compliance with the New York Department of Financial Services cybersecurity requirements.
- Assisted a major retailer in developing a comprehensive information security program for all levels of the enterprise.
- Drafted a comment letter on behalf of a securities industry consortium in response to an SEC proposed rule release that raised cybersecurity and data privacy concerns.
- Advised a systemically important financial market utility on a range of corporate governance, regulatory compliance, and examination matters.
- Advised a broker-dealer and electronic trading platform’s crisis management and response team as lead outside counsel, supporting external communications based on prepared disclosures and real-time inquiries from customers.
- Represented an investment adviser and its senior executives in an SEC investigation relating to performance results, model validation, and other compliance issues.
- Negotiated the first deferred prosecution agreement for an individual in an SEC Foreign Corrupt Practices Act investigation.
- Represented a broker-dealer in a FINRA investigation into order-handling practices, avoiding liability for the firm and individuals.
- Represented a real estate investment trust in an SEC investigation of asset valuation, related disclosures, and other compliance issues, avoiding individual liability.
- Obtained dismissal on a motion for summary judgment for the former CFO of a major bank holding company in an SEC enforcement action, and represented the former CFO in related private securities actions.