Represented investment bankers and financial advisors in an SEC investigation of a city. No enforcement action was taken against our clients.
Represented the CEO and Chairman of the Board in an SEC enforcement action relating to the collapse of this brokerage firm as a result of positions in collateralized debt obligations.
Represented a large defense subcontractor in a False Claims Act investigation by the U.S. Attorneys’ Office. Based on our representation, no action was taken.
Represented a large publicly traded apparel company in an SEC investigation into potential insider trading by investment bankers and financial advisors.
Represented a physician group in connection with a DOJ investigation regarding imported Medical Devices.
Successfully defended public accountant in an investigation by the SEC amidst allegations that a manufacturing firm, formed through a reverse merger, failed to disclose a transfer of material assets in its filings or offering documents.
Represented the former CEO of a technology manufacturer in connection with an insider trading investigation.
Successfully represented a school district in an industry investigation by the SEC concerning municipal bond disclosure, which resulted in no enforcement action being taken.
Represented investors and an executive officer of a public Technology company in connection with insider trading investigations by the SEC. No enforcement action was taken.
Represented an investor in an SEC investigation of an insider trading ring. No enforcement action was taken.
Represented an investor in a cycling team in connection with civil and criminal DOJ investigations into alleged use of performance enhancing drugs.*
Conducted global investigation into alleged FCPA violations by a public steel product manufacturer.
Conducted global investigation into alleged FCPA violations by a public consumer goods company. The investigation concluded in a settlement with the SEC without any action by the DOJ.*
Assisted a communications company and its officers and directors in compiling and producing information and documents in response to subpoenas from FINRA and the SEC.*
Represented a member of several limited liability entities holding interests in oil and gas leases in connection with a Securities and Exchange Commission (SEC) investigation.
Led an internal investigation into alleged Bank Secrecy Act violations relating to technological advances on behalf of an public internet payment processing company.*
Represented the CEO of a public wind and solar power corporation in an investigation by the SEC concerning allegations of illegal stock promotion and the unregistered sale of securities.
Represented an international restaurant chain in connection with an investigation related to insider trading allegations.
Represented an investment banking network and its officers against claims by the Corporations Commissioner that they improperly solicited investors and diverted investor funds for improper purposes.