Experience

• • An investment advisory firm in an SEC enforcement settlement related to disclosures regarding the methodologies used to construct a proprietary index created to depict performance of a convertible bond investing strategy.
  • A leading private equity firm in SEC and DOJ investigations concerning employees’ personal investments.
  • VMWare, a global technology company, in a settlement with the SEC involving revenue recognition and other accounting issues.
  • A global engineering firm in an SEC investigation into various issues.
  • Keppel Offshore & Marine in an internal investigation and coordinated resolutions with the U.S., Brazilian and Singaporean criminal authorities in relation to corrupt payments to Petrobras and other Brazilian officials.
  • A global pharmaceutical company in an SEC investigation.
  • A large media company in an SEC investigation relating to impairment and reserve accounting issues.
  • Oaktree in its settlement with the SEC relating to alleged violations of the pay-to-play provisions of the federal securities laws.
  • A fund-of-fund platform in due diligence of an asset manager in the acquisition of a minority stake in an investigation.
  • A large non-bank financial institution in an SEC investigation relating to various accounting issues in its mortgage origination and servicing businesses.
  • An internal review for a large national bank of accounting issues relating to the disposition of certain private equity investments.