Experience

• • An audit committee of a public company in response to potential misstatement by company management to auditor.
  • A large, international financial services company in the settlements of SEC and CFTC investigations into the use of off-system communications.
  • A Fortune 500 financial services company in an SEC inquiry concerning activity at a subsidiary prior to its acquisition.
  • A prominent broker-dealer in potential litigation with FINRA concerning certain real-time data displayed to customers.
  • The former CEO of Valeant Pharmaceuticals (now Bausch Health) in litigation related to Valeant Pharmaceuticals’ accounting and financial statement disclosures.
  • A prominent broker-dealer in an SEC investigation related to off-system communications.
  • A broker-dealer in a review of trading activity by company personnel.
  • A securities brokerage platform in the settlement of multiple SEC and FINRA investigations.
  • A broker-dealer in a confidential review of employee misconduct allegations.
  • A member of the board of a public company in an SEC investigation regarding public representations made during the company’s IPO.
  • A broker-dealer in an SEC enforcement investigation regarding Reg. SHO issues.
  • Robinhood in its June 2021 global FINRA settlement relating to platform outages, options, and supervision.
  • Silver Point Capital in an SEC investigation and litigation relating to alleged policies and procedures violations of the Investment Advisers Act of 1940 that resulted in a full dismissal of charges with prejudice.
  • An audit partner in an SEC enforcement proceeding that resulted in the SEC’s voluntary dismissal of all charges.
  • Multiple audit professionals in SEC investigations that resulted in declinations from the government.
  • A multinational accounting firm in a Public Company Accounting Oversight Board inquiry.
  • OpenSea in an investigation by the SEC regarding the legal and regulatory status of the marketplace that resulted in the SEC closing its investigation.
  • A layer one blockchain developer in an investigation by the SEC regarding the legal and regulatory status of a native digital asset.
  • A prominent broker-dealer in FINRA and SEC AML and cybersecurity investigations.
  • A multinational financial services company in an assessment of its off-channel communications policies.
  • A prominent broker-dealer in a fee dispute involving a major trading venue in which we achieved a complete resolution for our client.
  • The head of Retail Capital Markets of a specialty finance company in an SEC investigation concerning sales of bonds to retail investors.
  • 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.