Securities Litigation and Enforcement
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Conducted global investigation into alleged FCPA violations by a public steel product manufacturer.
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Successfully defended Cardiogenesis and its officers and directors against claims of breach of fiduciary duty asserted by shareholders arising from company’s merger. *
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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.*
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Represented investment bankers and financial advisors in an SEC investigation of a city. No enforcement action was taken.
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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.*
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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.
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Led an internal investigation into alleged Bank Secrecy Act violations relating to technological advances on behalf of an public internet payment processing company.*
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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.
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Represented an international restaurant chain in connection with an investigation related to insider trading allegations.
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Represented CKE Restaurants, Inc. and its directors as lead counsel in defense of securities class actions.
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Stradling successfully defended
Ceradyne in a breach of contract case arising out of an asset purchase agreement, brought by the owner of Quest Technology.
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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.
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Defended SoftBank Corporation in a securities class action alleging control person liability based on SoftBank’s transactions with and investments in UTStarcom.*
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Represented an issuer defendant, Quest Software, Inc., in connection with a securities class action relating to IPO allocation allegations.
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Represented Stewart Investments and its principal in this litigation relating to an investment in Acquicor.
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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.
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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.
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Represented a public company telecommunications provider in connection with internal investigations related to revenue recognition issues and ongoing DOJ investigations.
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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.
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Represented an officer of a broker-dealer in compiling and producing documents and information in response to a Securities and Exchange Commission (SEC) subpoena.