Experience

• • A food and beverage packaging manufacturer in securing the termination of an SEC insider trading investigation relating to trading activity by four executives.
  • A New York-based investment management firm focusing on residential whole loans and mortgage servicing rights in its first SEC exam, which ended with a “no findings” letter.
  • A prominent global hedge fund adviser in an SEC enforcement investigation regarding off-systems communications.
  • A broker-dealer in a FINRA enforcement investigation related to the January 2021 meme-stock trading events.
  • A large private adviser in an SEC insider trading investigation involving personal trading activity.
  • SolarWinds, a software developer, in an SEC investigation related to the December 2020 SUNBURST cyber attack.
  • An investment management firm in an SEC investigation related to fee disclosures and MNPI policies and procedures.
  • JPMorgan Chase & Co. and certain of its affiliates in dismissal of a class action lawsuit challenging provision of private mortgage reinsurance under RESPA.
  • Kaestner Family Trust in winning a unanimous Supreme Court victory in North Carolina Department of Revenue v. Kimberley Rice Kaestner 1992 Family Trust, involving an attempt by North Carolina to tax a nonresident trust based solely on the fact that a beneficiary of the trust, who had not yet received any distributions, lived in the State.
  • The former CEO of Valeant Pharmaceuticals (now Bausch Health) in government investigations and civil securities class actions and other litigation relating to the company’s restatement and sales practices.
  • The Nature Conservancy in an action seeking relief for damage to the Atlantic Double Dunes nature preserve and defeating an adverse possession claim against Conservancy land.
  • A Louisiana abortion clinic and its doctors, on their own behalf and on behalf of their patients, in challenging the constitutionality of Louisiana’s targeted regulation of abortion providers.
  • A hedge fund in securing a declination from the SEC in connection with an investigation of its trades in the securities of a target company.