Public Company – Investigation of Potential Illegal Short Selling

Retained by public company to investigate potential illegal short selling of company's stock. 

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.