Public Company – Investigation of Potential Illegal Short Selling
Retained by public company to investigate potential illegal short selling of company's stock.
Matters
Activist Investor – SEC Insider Trading Investigation
Successfully defended a principal of a prominent activist fund in an insider trading investigation conducted by the SEC.
Global Parking Company – ERISA Litigation
Successfully represent an international parking company in an ERISA litigation in the Southern District of New York.
Activist Investor – Insider Trading Investigation
Obtained a complete no-action letter on behalf of an activist investor in an SEC insider trading investigation.
Physician – Anti-Kickback and Stark Law Investigation
Represent a world-renowned physician in an Anti-Kickback and Stark Law investigation in front of the United States Attorney’s Office.
Broker-Dealer – FINRA Arbitration
Represent a broker-dealer in a FINRA arbitration alleging wrongful withholding of several million dollars in commissions.
Senior Trader – FINRA Investigation
Represent a senior trader of a financial institution in a FINRA investigation alleging market manipulation.
Executive – Internal Investigation
Represent the CEO of a wealth management firm in an internal investigation into selling away and improperly executing client documentation.
Broker – FINRA Investigation
Represent a broker in a FINRA investigation into improperly soliciting investments away from the firm.
Executive – Fraud Action
Represent a prominent foreign investor in an affirmative fraud action against an alternative energy broker and a related law firm.