Experience

• Financial Institutions

  • A broker-dealer in an NYAG investigation of order flow and execution issues.
  • A multinational accounting firm in a Public Company Accounting Oversight Board inquiry.
  • A public company in an SEC investigation involving financial restatements that resulted in a declination by the government.
  • Ernst & Young in an SEC settlement regarding misconduct relating to ethics and continuing professional education training.
  • The broker-dealer of a major investment bank in SEC investigations involving MNPI policies and procedures.
  • A global hedge fund manager in an SEC investigation involving MNPI issues.
  • A large financial services firm and its broker-dealer and registered investment adviser in an SEC investigation involving cybersecurity policies and procedures.
  • A prominent broker-dealer in a fee dispute involving a major trading venue in which we achieved a complete resolution for our client.
  • A large private adviser in an SEC insider trading investigation involving personal trading activity.
  • Multiple audit professionals in SEC investigations that resulted in declinations from the government.
  • A major investment bank in a group settlement with the SEC and CFTC regarding retention of employees’ work-related messages.
  • 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.
  • JPMorgan Chase & Co. in federal and state investigations of mortgage servicing, foreclosure, and origination related issues, including in connection with $25 billion settlement with DOJ, State Attorneys General and other federal authorities.
  • A global insurance company in SEC and DFS investigations related to financial reporting and internal controls issues.
  • A clearing firm and its subsidiaries in an SEC settlement related to its risk management policies.
  • A high-profile financial information content provider in an SEC investigation.
  • A large global hedge fund adviser in an SEC settlement related to alleged Rule 105 violations.
  • A large hedge fund in an SEC investigation related to DMM activity.
  • Robinhood in its SEC and FINRA settlements relating to best execution practices and payment for order flow.
  • A major financial institution in DOJ Mortgage Fraud Task Force, SEC and AG investigations of mortgage-backed securitizations.
  • JPMorgan Chase in investigations by several State Attorneys General and a federal regulator into credit card collections and debt sale practices.
  • A major global financial institution in federal and state regulatory investigations relating to auction-rate securities.
  • A leading financial institution in a Department of Justice investigation relating to alleged money laundering and Bank Secrecy Act violations.
  • A major investment bank in an internal investigation relating to mispricing of subprime securities and representation in follow-up government investigations.
  • A major accounting firm in a Public Company Accounting Oversight Board inquiry.
  • A national accounting firm in U.S. Attorney's Office and SEC investigations relating to collateralized debt obligations.
  • Major financial institutions on Anti-Money Laundering and Bank Secrecy Act compliance issues, including a review of Bank Secrecy Act compliance for these institutions.
  • JPMorgan Chase Bank, N.A. in civil lawsuits filed by the Massachusetts and New York attorneys general alleging consumer protection violations based upon the bank’s use of the Mortgage Electronic Registration System and allegations that the banks foreclosed without proper standing.

• Technology, Media & Telecommunications

  • A public company in an SEC investigation regarding an artificial intelligence tool used to facilitate stock recommendations.
  • A technology company in a civil investigative demand from the Texas Attorney General regarding reported user base.
  • SolarWinds, a software developer, in an SEC investigation related to the December 2020 SUNBURST cyber attack.
  • VMWare, a global technology company, in a settlement with the SEC involving revenue recognition and other accounting issues.
  • A global real estate company in an investigation led by the SEC, SDNY and other regulatory inquiries.
  • A technology company in an SEC investigation related to key performance indicators.
  • A private equity firm in an SEC investigation focused on technology investments.
  • Time Warner Book Group and New York Times editor Timothy O'Brien in a libel action brought by Donald J. Trump relating to the publication of Mr. O'Brien's book "TrumpNation," which was dismissed on motion for summary judgment for failure to demonstrate actual malice.
  • A large media company in U.S. Attorney’s Office investigation of alleged improper subscription practices.

• Cryptocurrency

  • A crypto trading business in a New York Attorney General investigation relating to governance and registration issues.
  • A layer one blockchain developer in an investigation by the SEC regarding the legal and regulatory status of a native digital asset.
  • A crypto trading platform in an investigation by the California Attorney General into its operations and disclosures.
  • A decentralized finance (DeFi) platform in an investigation by the SEC into the legal and regulatory status of the platform and an associated crypto token.
  • A web3 marketplace in an investigation by the SEC regarding the legal and regulatory status of the marketplace.
  • Tether and Bitfinex in the successful dismissal of a class action related to alleged misrepresentations regarding the sufficiency of reserves for Tether tokens.
  • Tether, Bitfinex and related entities in a putative class action asserting Commodities Exchange Act, antitrust and fraud claims based on alleged manipulation of the price of cryptocommodities.
  • A digital currency exchange in an NYAG inquiry.
  • Ripple in a ruling against the SEC in the SDNY holding that Ripple’s digital token XRP is not a security or “investment contract” in many circumstances.
  • A public company engaged in Bitcoin mining operations and blockchain investments in an SEC investigation.

• Healthcare

  • A pharmaceutical company in an SEC investigation of investor disclosures relating to FDA communications that resulted in a declination by the government.
  • A global pharmaceutical company in an SEC investigation.
  • Forest Laboratories in multi-district litigation class action suits arising from the marketing and promotion of Celexa and Lexapro.
  • Forest Laboratories and Forest Pharmaceuticals in the settlement of civil and criminal investigations led by the United States Department of Justice and the United States Attorney’s Office for the District of Massachusetts, and related civil qui tam litigation, regarding marketing, promotional and other activities for its products Celexa, Lexapro and Levothroid.
  • A leading healthcare company in an SEC inquiry into securities and derivative trading prior to the announcement of its recent transaction.

• Conglomerates

  • A global shoe and apparel company in a federal corruption investigation.
  • A Brazilian industrial company in an FCPA investigation.
  • A major international conglomerate in conducting FCPA due diligence on numerous M&A transactions.
  • An internal review for the Audit Committee of BG Group relating to issues arising in an investigation by Italian authorities into allegations of corruption in a project in Brindisi, Italy.
  • A large, multinational company on compliance with the Foreign Corrupt Practices Act in connection with various foreign business ventures.
  • A Special Committee of the Board of Tommy Hilfiger in an internal investigation and United States Attorney’s Office investigation of tax accounting issues related to offshore subsidiaries.

• Individual Representations

  • An audit partner in an SEC enforcement proceeding that resulted in the SEC’s voluntary dismissal of all charges.
  • Kenneth D. Lewis, former CEO of Bank of America, in regulatory matters relating to the Merrill Lynch acquisition, including defense against civil claims brought by the New York Attorney General and various civil securities and derivative cases.
  • A former senior manager at AIG in an investigation of valuation of credit default swaps.
  • The former officer of a public company in a filed SEC action in the United States District Court for the Southern District of New York alleging accounting fraud and revenue recognition violations.