Public Companies
Represented a public company in an SEC investigation into potential accounting and disclosure violations arising from a restatement of its financial statements and public filings.
Represented a public company and an associated consulting firm in an SEC investigation into possible accounting and disclosure fraud and potential Regulation FD violations.
Conducted an internal investigation on behalf of a public company in response to allegations of possible accounting fraud and management misconduct.
Represented an independent director and audit committee member of a public company in an SEC investigation and related civil litigation arising from his resignation and the subsequent bankruptcy of the company.
Represented the chief operating officer of a public company in an SEC investigation into allegations of possible accounting fraud and other misstatements reflected in its public filings.
Represented a public company in a joint SEC and DOJ investigation into possible disclosure violations arising from its hiring practices.
Represented a public company in an SEC investigation into possible accounting and disclosure fraud associated with subscriber numbers.
Represented the founder and chief executive officer of a public company in an SEC investigation into conflict of interest and breach of fiduciary duty arising from sale of the company by its private equity sponsor.
Conducted an independent corporate governance review for a leading software manufacturer arising from an investigation into its options pricing practices.
Conducted an internal control risk assessment on behalf of a public company pursuant to the Sarbanes-Oxley Act.
Hedge Funds
Represented a leading activist investment adviser and its associated hedge funds in an SEC investigation into potentially unlawful securities trading related to the structuring of a takeover transaction with a public company.
Represented a leading activist investment adviser and its associated hedge funds in an SEC investigation into potentially unlawful securities trading by certain of the funds’ investors.
Represented an investment adviser and its associated hedge funds in an investigation by Canadian securities regulators into possible market manipulation and disclosure violations.
Represented certain investment advisers and their associated private funds in separate investigations by the Brazilian equivalent of the SEC into potential trading and disclosure violations.
Represented a leading activist investment adviser in an SEC investigation into possible market manipulation and insider trading.
Represented the chief operating officer of a leading activist hedge fund in an SEC investigation into potential breach of fiduciary duty and conflicts of interest.
Represented an investment adviser and its associated hedge funds in an SEC examination, in particular as it relates to internal controls to prevent insider trading.
Represented an investment adviser and its associated hedge funds in an SEC follow-on examination of its policies and procedures and internal controls.
Represented a leading activist investment adviser in civil litigation associated with its investment in a discount retailer.
Private Equity Funds
Represented a private equity fund in SEC and FINRA investigations into possible insider trading arising from the fund’s acquisition of a publicly-traded company in a take-private transaction.
Represented a private equity fund and its senior executives in an SEC investigation into potential breach of fiduciary duty, self-dealing and related party transactions.
Represented a private equity investment firm in the SEC’s “pay-toplay” investigation relating to certain pension funds.
Represented a private equity fund and one of its portfolio companies in an SEC investigation into the possible sale of unregistered securities and associated disclosure violations.
Represented a private equity fund in an SEC examination of this newly-registered investment adviser, in particular as it relates to certain expense items allocated to portfolio companies.
Financial Institutions/Executives
Represented issuer of an initial coin offering (ICO) developing a blockchain technology solution in an investigation by the SEC and in a related securities class action asserting claims arising from the alleged sale of unregistered securities.
Represented a leading online broker-dealer and its chief compliance officer in an SEC investigation into violations of Regulation SHO arising from alleged naked short selling and allegations of operating an unregistered dealer.
Represented the portfolio manager of a leading fixed-income asset manager in an SEC investigation into sales practices relating to asset-backed and synthetic collateralized debt obligations and associated credit default swaps.
Represented a senior executive of a leading financial institution in an SEC investigation into possible misstatements and other trading practices in the sale of residential mortgage-backed securities.
Represented the chief financial officer of a leading family of money market funds in an investigation conducted by the SEC and other regulators into the fund’s net asset value following the Lehman Brothers’ bankruptcy.
Represented the chief compliance officer of a broker-dealer in a state regulatory investigation into allegations of unauthorized trading, unsuitability and churning.
Accounting Firms
Represented a Big Four accounting firm in an SEC investigation into accounting misconduct by one of its manufacturing industry audit clients.
Represented a Big Four accounting firm in an SEC and PCAOB investigation into accounting misconduct by one of its financial institution audit clients.
Represented a Big Four accounting firm in an SEC investigation into potential accounting misconduct by one of its financial institution audit clients.
Investigations
Represented former government officials in Inspector General investigations into possible misconduct arising in the course of their federal employment.
Represented high-profile public figure in an SEC investigation into possible insider trading.
Represented various public companies, private funds and other financial institutions in responding to FINRA requests for information relating to market surveillance activities.
Represented various other corporations and individuals in securities fraud investigations, including insider trading, foreign corruption, options back-dating and possible market manipulation.
