Experience

• • 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 leading global insurance company in conducting an internal investigation and responding to a criminal antitrust inquiry from DOJ in connection with a specialized line of multinational insurance.
  • A prominent broker-dealer in FINRA and SEC AML and cybersecurity investigations.
  • The National Football League in independent investigations into allegations of tanking made against the Cleveland Browns and allegations of tanking and tampering made against the Miami Dolphins and their owner Stephen Ross.
  • A major bank in responding to a government inquiry related to allegations of mortgage origination fraud.
  • A senior executive of a major technology company in an SEC insider trading investigation.
  • The broker-dealer of a major investment bank in an SEC investigation involving MNPI policies and procedures that resulted in a declination by the government.
  • A global asset manager in an advisory exam focused on fiduciary questions in certain investment strategies.