Representative Experience
- Represent a bulge-bracket, multinational financial services company in numerous internal investigations, regulatory inquiries and related civil litigation concerning potential issues arising under the federal securities laws, SEC, CFTC and FINRA regulations, as well as numerous other state and federal laws and regulations.
- Represent a financial services company in parallel investigations by federal and state regulators relating to its residential mortgage-backed securitization practices.
- Represent a worldwide financial services provider in an internal investigation of potential violations of the Foreign Corrupt Practices Act by an employee who attempted to broker deals with the Iranian government.
- Represented investment companies, broker-dealers, funds and numerous individuals in several high-profile insider trading investigations and prosecutions by the SEC, FINRA, DOJ and foreign regulators, including those stemming from the high-profile “expert networking” investigation.
- Represented a senior executive in global parallel investigations by DOJ, the CFTC, the FSA and other regulators concerning the alleged manipulation of interbank lending rates.
- Represented the general counsel of a NYSE-listed company in a parallel investigation by the Securities and Exchange Commission relating to a financial restatement issued by the company.
- Represented a multinational financial services company in a forensic investigation concerning allegations that the company’s former employee misappropriated trade secrets for proprietary trading software.
- Represented companies and individuals in investigations by DOJ, the SEC, FINRA and state securities regulators concerning their participation in purported market manipulations, investment schemes and trading inquiries, including the recent wave of “layering” investigations.
- Represented financial services company in an investigation concerning federal and state pay-to-play laws.
- Represented a Nationally Recognized Statistical Rating Organization in its examination by the SEC.
- Assisted clients in designing and implementing codes of ethics, disclosure policies, insider trading policies and training programs, whistleblower protections and audit committee policies pursuant to the Sarbanes-Oxley and Dodd Frank Acts.