Experience

• Corporate Representations

  • A global financial institution in a DOJ investigation of potential FCPA violations involving its private equity arm, resulting in the DOJ declining prosecution and closing its investigation.
  • A global consulting company in multiple bankruptcy proceedings and related matters, including a trial, concerning disclosure practices.
  • A major European financial institution in an SEC insider trading investigation that resulted in the SEC closing its investigation.
  • A global financial advisory group in multiple DOJ investigations related to block trades, debt capacity and valuations, and alleged misrepresentations in the sale of a company.
  • A global underwriting company in an SEC investigation into booking of insurance reserves.
  • A VC firm in an investigation by multiple federal and state regulators into the collapse of the crypto trading platform FTX.
  • A VC firm in a DOJ investigation and prosecution of Tornado Cash, a decentralized cryptocurrency tumbler.
  • A prominent global private fund manager in DOJ and SEC block trades investigations.
  • A major law firm in a DOJ investigation and prosecution of one of its partners.
  • A prominent company in the health care industry in a DOJ criminal investigation into ACA risk adjustment and related billing practices, resulting in the DOJ closing its investigation.
  • A major health insurance company in a DOJ False Claims Act investigation related to coordination of benefits under the Medicare Secondary Payer Act.
  • A major fitness holdings company in a DOJ False Claims investigation related to PPP loans.
  • A global private equity firm in multiple internal investigations related to accounting issues in various portfolio companies.
  • A multinational manufacturer of luxury vehicles in an internal investigation into its Indian subsidiaries related to employee misconduct and accounting issues.
  • A global financial institution in an internal investigation related to SAR filings.
  • A global insurance company in SEC and DFS investigations related to financial reporting and internal controls issues.
  • A global luxury business in an internal investigation related to alleged discrimination.
  • A global FinTech company in multiple internal investigations focused on compliance and personnel issues.
  • A global insurance company in multiple internal investigations related to accounting practices and handling of sensitive information.
  • A major financial institution in an investigation and civil action by a court-appointed receiver.
  • A leading asset management firm and its professionals in a DOJ investigation focused on alleged fraud in corporate debt financing transactions.
  • A major software company in an investigation by the SEC into the legal and regulatory status of the platform and an associated crypto token that resulted in the SEC closing its investigation.
  • A global digital asset platform in an investigation by the SEC regarding the legal and regulatory status of the marketplace that resulted in the SEC closing its investigation.
  • A global financial institution in government investigations into Russian money laundering activity.
  • A Japanese global trading and investment company in a DOJ investigation of potential sanctions violations.
  • A major university in an internal investigation and a NYAG investigation into alleged market manipulation by one of its licensees.
  • A New York university hospital in an internal investigation related to allegations of sexual abuse by one of its former physicians.
  • A Special Committee of the Board of Trustees of a University in an independent investigation of all claims alleged in EEOC and federal complaints filed by eight current and former University faculty members and students.
  • A major charitable foundation in a civil forfeiture action in federal court.
  • Ongoing compliance and due diligence advice to clients in government investigations and M&A transactions.

• Individual Representations

  • The head of a trading desk for a global trading and mining company in DOJ and CFTC investigations of alleged market manipulation and FCPA violations.
  • The head of the Indian subsidiary of a global investment group in a DOJ investigation of alleged FCPA violations.
  • The founder and CEO of a healthcare company in a DOJ inquiry and internal investigation related to the sale of Covid-19 tests.
  • A co-founder and board member of a radiopharmaceutical oncology company in DOJ and SEC insider trading investigations.
  • A board member of a major investment firm focused on digital currency and assets in DOJ and SEC investigations of alleged misrepresentations to investors.
  • The Chair of the Board and senior executives of a publicly traded company in an internal audit and SEC investigation focused on related party transactions.
  • The CFO of a publicly traded company in an SEC investigation related to the CEO’s alleged related party transactions.
  • The founder and CEO of an online pharmaceutical company in a DOJ investigation related to alleged healthcare fraud and violations of the federal anti-kickback statute.
  • The Chair of the Board of a global healthcare management provider & biotechnology developer in a DOJ investigation of alleged trade secret and intellectual property theft.
  • The founder, Chairman and CEO of an investment fund in an SEC inquiry related to alleged misrepresentations in public filings.
  • A former senior executive of a global healthcare company in DOJ and SEC investigations of potential accounting and FCPA issues.
  • A senior executive of a major technology company in an SEC insider trading investigation.
  • A senior trader at large financial institutions in a DOJ investigation for alleged fraud in auctions and trading of securities issued by the Treasury Department.
  • A reporter in DOJ and SEC investigations concerning alleged insider trading.
  • An individual in DOJ and SEC investigations and prosecutions for insider trading.
  • The owner and director of a Singapore-based commodities company in a DOJ prosecution for alleged bank fraud and sanctions violations.
  • The former CEO of a major pharmaceutical company in litigation related to the company’s accounting and financial statement disclosures.
  • The co-founder of a real estate capital advisory firm in a NYAG investigation of alleged mortgage fraud.