Broker – FINRA Investigation
Represent a broker in a FINRA investigation into improperly soliciting investments away from the firm.
Matters
Broker-Dealer – FINRA Arbitration
Represent the U.S. Broker-Dealer division of an Israeli bank in a FINRA industry arbitration.
Prominent Doctor – Healthcare Fraud Investigation
Successfully defended a renowned doctor in an Anti-Kickback and Stark Law investigation conducted by the US Attorney’s Office and the Department of Justice’s Health Care Fraud Task Force.
Nationally Renowned Content Creator – Business Divorce
Represent a nationally renowned podcast host and author in an eight-figure business divorce.
Broker and Wealth Manager – Criminal and Regulatory Fraud Investigation
Defend a broker and registered wealth manager in parallel fraud investigations conducted by the U.S. Attorney’s Office for the District of Connecticut, the SEC and FINRA.
Hotelier and Restaurant Developer – SEC Receivership Clawback Litigation
Secured an extremely favorable settlement on behalf of a prominent national hotelier and restaurant developer in connection with an aggressively litigated action commenced by an SEC appointed receiver in the United States District Court for the District of New Jersey.
Executive – Fraud Action
Represent a prominent foreign investor in an affirmative fraud action against an alternative energy broker and a related law firm.
Public Company – Investigation of Potential Illegal Short Selling
Retained by public company to investigate potential illegal short selling of company's stock.
Executive – Internal Investigation
Represent the CEO of a wealth management firm in an internal investigation into selling away and improperly executing client documentation.
Senior Trader – FINRA Investigation
Represent a senior trader of a financial institution in a FINRA investigation alleging market manipulation.
Broker-Dealer – FINRA Arbitration
Represent an investment bank and broker dealer in a FINRA arbitration alleging the wrongful withholding.
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.
Global Parking Company – ERISA Litigation
Successfully represent an international parking company in an ERISA litigation in the Southern District of New York.
Activist Investor – SEC Insider Trading Investigation
Successfully defended a principal of a prominent activist fund in an insider trading investigation conducted by the SEC.