Experience

• • A software developer in an SEC investigation related to a cyber attack.
  • A global life sciences company in SEC and DOJ investigations into potential corruption issues in Latin America.
  • A global engineering firm in an SEC investigation into potential corruption and accounting violations in Asia and Africa.
  • Robinhood in its SEC and FINRA settlements relating to best execution practices and payment for order flow.
  • A prominent fund administrator in an SEC odd lot valuation investigation.
  • A large financial services institution in an SEC investigation focused on its share class selection and revenue sharing arrangements that resulted in a declination by the government.