Stradling Shareholders Jason de Bretteville and Kathleen Marcus represented one of the key defendants in a landmark securities fraud prosecution involving an extensive wiretap investigation.
Conducted audit of company compliance policies and provided recommendations and counseling to improve compliance program.
Represented a physician group in connection with a DOJ investigation regarding imported Medical Devices.
Investigated market manipulation practices, including the establishment of fictitious entities to make false disclosures into the marketplace, for a public pharmaceutical company.
Provided counseling on employment-related compliance issues and assisted with the institution of a comprehensive Anti-Corruption Policy.
Investigated market manipulation practices and stock shorting activities on behalf of a pharmaceutical company.
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.
Provided counseling on the revision of numerous compliance policies, including document retention and code of ethics.
Conducted audit of company compliance policies and provided detailed recommendations.
Conducted an investigation of a contractor on behalf of a Medical Device company after receiving whistleblower allegations of money laundering.
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 investment bankers and financial advisors in an SEC investigation of a city. No enforcement action was taken.
Obtained a temporary restraining order, writs of attachment and asset freeze against a company and its owner accused of running a $49 million Ponzi scheme.
Represented an international restaurant chain in connection with an investigation related to insider trading allegations.