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