Listed in Chambers USA, White-Collar Crime & Government Investigations, 2024-2026 Listed in Lawdragon 500 Leading Litigators in America, White-Collar, Government Investigations, Regulatory Enforcement, 2025-2026 Listed in Securities Docket, Enforcement Elite, 2024-2026 SEC Enforcement Director’s Award, Outstanding Contributions to the Enforcement of Federal Securities Laws, 2014, 2016-2018, 2020 Lead counsel for former CFO of a publicly traded (NYSE) financial services company in connection with an SEC investigation into an accounting restatement and related accounting irregularities. Lead counsel for former named executive officer of a publicly traded (Nasdaq) software company in connection with an SEC investigation into an accounting restatement and related accounting irregularities. Lead counsel for former Audit Committee chairman of publicly traded (Nasdaq) pharmaceutical company in connection with an SEC investigation into company representations and disclosures; investigation closed without enforcement action. Lead counsel for chief investment officer of a large SEC-registered investment adviser in connection with an SEC and DOJ short-and-distort investigation; both investigations closed without enforcement action. Lead counsel for investment syndicator in connection with an SEC investigation into potential misconduct related to securities offerings totaling more than $10 million; investigation closed without enforcement action. Lead counsel for former CFO of publicly traded (Nasdaq) nutrition company in connection with an SEC investigation into company accounting disclosures and financial restatement; investigation closed without enforcement action. Lead counsel for publicly traded (NYSE) multinational financial services company in a FINRA investigation regarding suspicious trading by company employees; investigation closed without enforcement action. Lead counsel for large SEC-registered investment adviser in connection with SEC’s first enforcement sweep concerning hypothetical performance disclosures under New Marketing Rule; favorable settlement reached prior to filing. Co-lead counsel for large SEC-registered investment adviser in connection with SEC investigation concerning potential Rule 105/Regulation M noncompliance; investigation closed without enforcement action. Lead counsel for gaming and esports pioneer in an SEC investigation concerning potential touting and promotional activities involving NFTs; investigation closed without enforcement action. Lead counsel for individual day trader in connection with an SEC insider trading investigation; favorable settlement reached prior to filing. Co-lead counsel for publicly traded (Nasdaq) electric vehicle company in an SEC investigation concerning company representations and promotional activities; investigation closed without enforcement action. Represented Fortune 10 company in connection with parallel SEC and U.S. Department of Justice (DOJ) investigations into possible FCPA violations. Represented registered investment adviser in investigations by the SEC, New York attorney general, and various U.S. attorney offices in connection with alleged pay-to-play practices.
