Experience

• • The head of Retail Capital Markets of a specialty finance company in an SEC investigation concerning sales of bonds to retail investors.
  • A global manufacturing company in SEC and DOJ investigations into potential corruption issues in Southeast Asia.
  • A large hedge fund in an SEC investigation related to trading.
  • 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.
  • Toyota Motor Corp. in a resolution with the Department of Justice and Environmental Protection Agency regarding its emissions reporting practices, without any criminal charges being filed.