Lead counsel for former CFO of a publicly traded (NYSE) financial services company in connection with an SEC investigation into accounting restatement and alleged 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 alleged accounting irregularities.
Lead counsel for former president of a U.S. Naval shipbuilding contractor in parallel SEC litigation and DOJ investigation into alleged 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 individual in parallel insider trading investigations by SEC and DOJ; obtained declination from and SEC voluntarily dismissed complaint with prejudice.
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.
Lead counsel for real estate development and financing services company and its managing partner in an SEC investigation into whether clients engaged in unregistered municipal advisory activity; 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.
Lead counsel for multidisciplinary investigative team for a large SEC-registered investment adviser concerning various misconduct by supervised persons.
Lead counsel for special committee of publicly traded (Nasdaq) healthcare services company concerning potential misconduct by a board member.
Lead counsel for publicly traded (Nasdaq) healthcare services company concerning potential employee misconduct involving communications with analysts.
Lead counsel for publicly traded (NYSE) multinational financial services company concerning internal investigation of performance-based executive compensation practices.
Lead counsel for U.S. subsidiary of foreign issuer in internal investigation concerning accounting, books and records, and related compliance issues.
Lead counsel for publicly traded (Nasdaq) digital services company in an internal investigation into possible multi-year accounting irregularities.
Lead investigative counsel for publicly traded (NYSE) multinational financial services company into potential employee misconduct and whistleblower concerns.
Lead investigative counsel for large SEC-registered investment adviser concerning possible front-running trades by supervised persons.
Co-lead counsel for virtual trading prop firm concerning investigation into potential noncompliance with SEC and CFTC regulations.
Lead counsel for former CFO of a publicly traded (NYSE) financial services company in connection with securities class action alleging securities fraud involving non-GAAP metrics.
Lead counsel for former Audit Committee chairman of publicly traded (Nasdaq) pharmaceutical company in private securities class action and related derivative lawsuits re: company representations and disclosures; matter settled for fraction of plaintiff’s demand.
Co-lead counsel for court-appointed receiver in connection with an SEC enforcement proceeding involving the administration of a Texas-based foreign exchange company.
Co-lead counsel for court-appointed receiver in connection with SEC enforcement proceeding involving a digital currency entity.
Represented bankruptcy trustee in matter focused on identifying sham transactions executed by board members of a Texas-based entity.
Lead counsel for several SEC-registered and state-registered investment advisers in connection with examinations by federal and state regulators.
Lead counsel for multiple SEC-registered investments concerning compliance reviews consistent with federal securities laws.
Lead counsel for M&A broker concerning compliance with Section 15(b)(13) M&A broker exception to SEC registration.
Lead counsel for large SEC-registered investment adviser concerning potential regulatory exposure concerning compliance obligations under the Investment Advisers Act of 1940 (custody rule, surprise examination, and annual compliance review).
Lead counsel for large SEC-registered investment adviser on effectuating compliance with regulations concerning prevention of misuse of material nonpublic information.
Lead counsel for large SEC-registered investment adviser concerning potential implications from ancillary de-SPAC transaction.
Lead counsel for large SEC-registered investment adviser concerning compliance with Exchange Rule 21F-17 regarding whistleblower compliance.