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.
Matters
Options Trader – SEC Regulatory Compliance and Enforcement Advisory
Advise significant West Coast based options trader on Large Trader SEC regulatory compliance and related enforcement issues.
Prominent Wealth Advisor – Internal Investigations and Government Inquiries
Successfully defended a wealth advisor from a global financial services firm in both an internal investigation and inquiries from FINRA and the CFB Board arising from allegations of unauthorized, risky trades that resulted in losses to a client’s accounts. Herrick negotiated the advisor’s exit from the firm and assisted in an effective transition to new firm. Additionally, the team fended off the inquiries from the government agencies, resulting in no-action letters for the advisor.
M&A Advisory Firm – Commission Dispute
Represent a M&A advisory firm in a commission dispute with a former client in New York Supreme Court.
Commercial Real Estate Lender – “Springing Member” Summary Judgment
Obtained summary judgment in New Jersey Chancery Court on behalf of a commercial real estate lender installing our client as the “Springing Member” of an LLC in default of its obligations to its lenders.
Private Lender – Multiple State and Federal Litigations
Represent a private lender in connection with multiple state and federal litigations related to a significant commercial property in Upper Saddle River, New Jersey.
Major Legal Services Provider – Dismissal of Fraud and Federal Civil Rights Complaints
Represented a major legal services provider and two of its lawyers in successfully obtaining the dismissal of a sprawling 18 count fraud and federal civil rights complaint in the Southern District of New York.
Investment Bank – Favorable Resolution in Arbitration Initiated by Former Managing Director
Successfully represented an investment bank in an arbitration involving unpaid fees allegedly owed to a former registered representative. After an evidentiary hearing, the three-member panel dismissed all of the representatives claims, awarded them zero dollars and declined to refer the matter to FINRA enforcement.
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.
Public Company – Investigation of Potential Illegal Short Selling
Retained by public company to investigate potential illegal short selling of company's stock.
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.
Broker – FINRA Investigation
Represent a broker in a FINRA investigation into improperly soliciting investments away from the firm.
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.