White Collar DefenseSecurities and Derivatives Litigation and Regulatory Group
Bank Regulatory
Commercial Litigation
University of Pennsylvania Law School, J.D., 1982
Ohio State University, B.A., 1979
cum laude, Phi Beta Kappa
New YorkNew Jersey
U.S. District Court, S.D. New YorkU.S. District Court, E.D. New York
U.S. District Court, Dist. of New Jersey
U.S. Court of Appeals, 2nd Circuit
U.S. Court of Appeals, 3rd Circuit
American Bar Association, Business Law Section, Chairman of the White Collar Crime Committee
Ongoing
Former MF Global Officer - DOJ, CFTC and SEC Investigations
Representation of a former senior officer of MF Global in investigations being conducted by the Department of Justice, the CFTC and the SEC in connection with the collapse and bankruptcy of the company.
Former MF Global Officer - DOJ, CFTC and SEC Investigations
Representation of a former senior officer of MF Global in investigations being conducted by the Department of Justice, the CFTC and the SEC in connection with the collapse and bankruptcy of the company.
Ongoing
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.
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.
Ongoing
Former Bank Directors - FDIC Investigation
Former Bank Directors - FDIC Investigation
Represent two directors of a failed New York City area community bank in the defense of claims by the FDIC.
Ongoing
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.
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.
2012
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.
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.
2012
Professional Athletes - Grand Jury Investigation
Representation of several prominent professional athletes in a high profile criminal investigation by the Department of Justice.
Professional Athletes - Grand Jury Investigation
Representation of several prominent professional athletes in a high profile criminal investigation by the Department of Justice.
2011
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.
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.
2011
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.
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.
2011
Medical Device Company Executive - Grand Jury and Regulatory Investigations
Representation of a medical device company's former Vice President of Sales in parallel federal grand jury and Health and Human Services Department investigations of alleged pay-offs to doctors.
Medical Device Company Executive - Grand Jury and Regulatory Investigations
Representation of a medical device company's former Vice President of Sales in parallel federal grand jury and Health and Human Services Department investigations of alleged pay-offs to doctors.
2011
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.
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.
2010
Manufacturing Company Executive - Grand Jury Investigation
Representation of a manufacturing company executive who was the target of a federal grand jury investigation into alleged violations of the Arms Export Control Act. Convinced the government not to charge the client.
Manufacturing Company Executive - Grand Jury Investigation
Representation of a manufacturing company executive who was the target of a federal grand jury investigation into alleged violations of the Arms Export Control Act. Convinced the government not to charge the client.
2010
Insider Trading - SEC Action
Representation of a Canadian investor in an SEC insider trading lawsuit.
Insider Trading - SEC Action
Representation of a Canadian investor in an SEC insider trading lawsuit.
2010
Real Estate Company - Grand Jury Investigation
Representation of a prominent regional real estate development company in a federal grand jury investigation of political campaign contributions.
Real Estate Company - Grand Jury Investigation
Representation of a prominent regional real estate development company in a federal grand jury investigation of political campaign contributions.
2010
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.
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.
2004-2009
Labor Union - Ethical Practices Counsel
Advised the Ethical Practices Counsel of a major international labor union concerning allegations of organized crime influence and corruption.
Labor Union - Ethical Practices Counsel
Advised the Ethical Practices Counsel of a major international labor union concerning allegations of organized crime influence and corruption.
2009
General Counsel - Options Backdating Class Action
Representation of the former General Counsel of a major technology company in a class action against the company concerning stock options backdating.
General Counsel - Options Backdating Class Action
Representation of the former General Counsel of a major technology company in a class action against the company concerning stock options backdating.
2009
Hedge Fund Collapse - SEC Investigation
Representation of the chief operating officer of a major hedge fund in connection with an SEC investigation into the fund's collapse and liquidation.
Hedge Fund Collapse - SEC Investigation
Representation of the chief operating officer of a major hedge fund in connection with an SEC investigation into the fund's collapse and liquidation.
2008
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.
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.
2008
National Food Products Co. - Criminal Anti-trust Investigation
Representation of a prominent national food products company in a criminal price fixing investigation by the U.S. Department of Justice. Convinced the government not to charge the company.
National Food Products Co. - Criminal Anti-trust Investigation
Representation of a prominent national food products company in a criminal price fixing investigation by the U.S. Department of Justice. Convinced the government not to charge the company.
2007
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.
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.
2007
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 - 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.
2007
Food Products Company - Accounting Fraud Investigation
Representation of the CEO of a regional food products company in a federal grand jury investigation of accounting fraud at one of the company's customers.
Food Products Company - Accounting Fraud Investigation
Representation of the CEO of a regional food products company in a federal grand jury investigation of accounting fraud at one of the company's customers.
2006
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.
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.
2006
Retail Brokerage - Federal Investigation
Representation of a national retail brokerage firm in a joint U.S. Attorney/SEC investigation of illegal "frontrunning" trading activity.
Retail Brokerage - Federal Investigation
Representation of a national retail brokerage firm in a joint U.S. Attorney/SEC investigation of illegal "frontrunning" trading activity.
2006
Pharmaceutical Company - Insider Trading Investigation
Representation of the senior management of a pharmaceutical company in an SEC insider trading investigation of a PIPE offering.
Pharmaceutical Company - Insider Trading Investigation
Representation of the senior management of a pharmaceutical company in an SEC insider trading investigation of a PIPE offering.
2006
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.
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.
2005
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.
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.
2005
Boards of Directors - Internal and SEC Insider Trading Investigations
Conducted an insider trading investigation on behalf of the boards of directors of two affiliated publicly owned computer software companies, and represented them in a related SEC investigation.
Boards of Directors - Internal and SEC Insider Trading Investigations
Conducted an insider trading investigation on behalf of the boards of directors of two affiliated publicly owned computer software companies, and represented them in a related SEC investigation.
 |
 |
 |
 |
Copyright 2013, Herrick, Feinstein LLP. All Rights Reserved. An ICVM Group Site