U.S. Securities and Exchange Commission Law and Policy Award, 2024 Ellen B. Ross Award, 2024 Division of Enforcement Director’s Awards, 2018, 2023 Special Act Awards, 2015-2017, 2019-2024 Washington Lawyers’ Committee for Civil Rights and Urban Affairs Outstanding Achievement Awards, 2010, 2012 Represented the SEC in one of its largest enforcement matters (in dollar terms) in which registered investment adviser paid more than $1 billion in disgorgement, interest, and penalties for misleading investors about risks and performance of private funds. Coordinated with DOJ on parallel criminal proceedings that led to four guilty pleas. Represented the SEC in its first enforcement action based on issuer’s failure to disclose and accrue a loss contingency arising from a False Claims Act investigation. Obtained penalties and injunctive relief. Represented the SEC in its first enforcement action in district court charging violations of Regulation SHO. Obtained disgorgement, interest, penalty, and injunctive relief. Represented the SEC in its first enforcement action charging violations of Section 11 of the Investment Company Act. Obtained penalty and non-monetary relief. Represented the SEC in an insider trading case against former U.S. congressman for misappropriating confidential information from consulting clients and using it to trade ahead of merger announcements. Coordinated with DOJ on parallel criminal proceeding that led to conviction at trial. Represented the SEC in proceeding against steel pipe manufacturer for FCPA violations arising from alleged bribery in Brazil. Obtained disgorgement, interest, penalty, and non-monetary relief. Represented the SEC in action against registered investment adviser for marketing complex investment strategy with inadequate training for employees and insufficient disclosures to investors. Obtained disgorgement, interest, penalty, and non-monetary relief. Represented the SEC in an insider trading case against six defendants in Silicon Valley who shared and traded on nonpublic information about corporate announcements. Coordinated with DOJ on parallel criminal proceedings that resulted in three guilty pleas. Represented the SEC in case against stock promoter for alleged illegal touting and securities fraud. Obtained asset freeze followed by disgorgement, interest, and penalties. Represented the SEC in an insider trading case against biotech executive who traded on confidential information about drug trial. Coordinated with DOJ on parallel criminal case resulting in guilty plea. Represented the SEC in two enforcement actions against accountants and dealt with accountants as witnesses in multiple cases and investigations.
