Medical Doctor - Medicare/Medicaid Kickback Prosecution
Representation of a doctor charged by the U.S. Attorney's Office for the District of New Jersey with allegedly receiving improper referral fees for directing Medicare and Medicaid patients for MRIs and CAT scans.
Witness - SEC Action
Representation of a key witness in an SEC lawsuit charging kickbacks, failures to disclose and overvaluing of assets involving the owners of a registered investment adviser which claimed to have had over $130 million in assets under management.
Brokerage Firm - FINRA Examination
Representation of a brokerage firm in a Financial Industry Regulatory Authority examination of customer trades in foreign bonds and the firm's anti-money laundering procedures.
Futures Commission Merchant - Fraud Claims
Defended a Futures Commission Merchant ("FCM") in a federal civil lawsuit alleging that a former employee of the FCM assisted the employees of a bank to overvalue the bank's over-the-counter natural gas options book. Damages in excess of $500 million were sought.
Investment Adviser - Successful Conclusion to Internal Investigation
Conducted an internal investigation for a nationally recognized investment adviser to a series of hedge funds following a whistleblower's complaint concerning SEC compliance and operational issues. Upon submission of a report of our investigation, which determined that the whistleblower's allegations had no merit, the SEC never brought charges.
Brokerage Firm President - SEC Action
Representation of the former president and owner of a brokerage firm in post-trial proceedings following an SEC lawsuit involving the alleged employment of a barred person.
Hedge Fund - SEC Investigation
Successful defense of a prominent hedge fund in connection with an SEC investigation of alleged misrepresentations and the alleged failure to disclose material facts to investors. We prepared a Wells Submission which resulted in decision by the SEC to drop the investigation.
Insurance Company - Internal and Grand Jury Investigations
Conducted an internal investigation on behalf of the board of directors of a mid-sized insurance company concerning allegations that a company officer was bribed by a company vendor. Also represented the company in a related New Jersey state grand jury investigation.
Commodities Broker - Civil Litigation
Representation of a leading futures and options broker in a civil litigation stemming from a $200 million fraud perpetrated by a hedge fund manager.
Retail Brokerage - NYSE Investigation
Representation of a national retail brokerage firm in claims brought by the Enforcement Division of the New York Stock Exchange relating to proxy procedures used on an industry-wide basis. The case was resolved after discovery.
Retail Brokerage Branch Manager - NASD Charges
Successful defense of the branch manager of a national retail brokerage firm. Following a hearing, the hearing panel dismissed all of the NASD's charges, including allegations of supervisory failures. The dismissal was upheld on appeal by the NASD to the NASD's National Adjudicatory Council.
Corporate Executive - Internal Investigation
Representation of the division head of a corporation's food services division in an internal investigation of alleged embezzlement and diversion of corporate opportunities.
Financial Services Company - Internal and Grand Jury Investigations
Conducted an internal investigation for a major international financial services corporation concerning allegations that company employees had provided false customer account information to another financial institution. We also represented the company in a related New York state grand jury investigation.