Securities Litigation and Enforcement

Conducted global investigation into alleged FCPA violations by a public steel product manufacturer.

Successfully defended Cardiogenesis and its officers and directors against claims of breach of fiduciary duty asserted by shareholders arising from company’s merger. *

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.* 

Represented investment bankers and financial advisors in an SEC investigation of a city. No enforcement action was taken.

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.*

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.

Represented CKE Restaurants, Inc. and its directors as lead counsel in defense of securities class actions.

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.

Defended SoftBank Corporation in a securities class action alleging control person liability based on SoftBank’s transactions with and investments in UTStarcom.*

Represented an issuer defendant, Quest Software, Inc., in connection with a securities class action relating to IPO allocation allegations.

Represented Stewart Investments and its principal in this litigation relating to an investment in Acquicor.

Represented Newport Capital Asset Management and certain of its officers and related parties in an action relating to a merger and acquisition transaction, including related employment claims.

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.

Represented a public company telecommunications provider in connection with internal investigations related to revenue recognition issues and ongoing DOJ investigations.

Represented Bay City Capital, a venture capital fund, in a shareholder suit alleging breach of fiduciary duty claims against the company and several venture capital funds relating to a down round financing.

Represented an officer of a broker-dealer in compiling and producing documents and information in response to a Securities and Exchange Commission (SEC) subpoena.