Previous Private Practice Experience
Regulatory Defense & Investigations
- Represent a prominent investment advisor in connection with the collapse of an open-ended credit fund.
- Successfully defend the targets of an SEC investigation into the litigation funding industry.
- Defend a broker-dealer in a FINRA inquiry.
- Defend the Chief Reporting Officer of a multinational bank in a U.S. Treasury Department investigation.
- Act on behalf of a C-level executive in a SEC investigation of a large venture capital firm.
- Defend an international auction house in a tax-related investigation conducted by the NYSAG.
Criminal Defense & Investigations
- Defend a prominent auction house in a sales tax investigation conducted by the Manhattan District Attorney’s Office.
- As CJA counsel, obtain a downward variance at sentencing for a defendant charged with violating § 18 U.S.C. § 922(g) in the Southern District of New York.
- Defend a medical practitioner indicted in an Anti-Kickback Statute matter in the Southern District of New York.
- Serve as pool counsel in a long-running Anti-Kickback Statute and Off-Label investigation in the District of New Jersey.
- Defend the target of a federal inquiry into the closure of New York’s Moreland Commission to Investigate Public Corruption.
- Defend a major non-profit in the investigation into former New York State Senate Majority Leader Sheldon Silver.
- Defend a real estate developer in an investigation conducted by the Office of Special Counsel Robert Mueller, III.
- Defend the Chairman of a Swiss Privatbank in an investigation conducted by the Department of Justice Tax Division.
- Defend a multinational shipping company in a criminal antitrust and FCPA investigation conducted by the Department of Justice.
- Defend a major United Kingdom based financial institution in U.S. Dollar & Sterling Libor investigations conducted by the DoJ, USAO, UK FCA, CFTC and NYAG and related Multidistrict class action litigation.
- Defend the Chief Audit and Compliance Officer of an international auto manufacturer in a securities investigation conducted by the USAO.
- Defend executives of an international re-insurance broker in an FCPA investigation..
- Act on behalf of the pension fund of a major South American oil company in a fraud investigation.
- Defend the Chief Accounting Officer of an automotive manufacturer in a DoJ and SEC fraud investigation.
- First chair an internal investigation into allegations of sexual assault at a Manhattan educational institution.
- Investigate allegations of accounting irregularities at a major real estate technology firm.
- Defend a RMBS trader in an investigation into spoofing.
- Defend a senior apparel executive in a bribery investigation.
- Defend the Chief Accounting Officer of an automotive manufacturer in an internal investigation.
- Conduct an internal investigation on behalf of a Hedge Fund into allegations of employee misconduct.
- Conduct an internal investigation on behalf of a service provider into allegations of IP theft.
- Defend a partner in a hospitality group in an investigation into potential misconduct.
Accountant’s Liability & Investigations
- Defend a Big-4 audit partner in an SEC investigation into bond offerings.
- Defend the U.S. partnership of a Big-4 accounting firm in connection investigations conducted by the PCAOB, SEC and USAO in connection with CMBS fraud at a major financial services conglomerate.
- Defend a foreign member firm of a Big-4 accounting network in a PCAOB independence inquiry.
- Defend a Big-4 International Network in an SEC independence inquiry.
- Represent a mid-sized regional accounting partnership in an SEC fraud inquiry.
- Advise a sovereign wealth fund on compliance and document retention issues.
- Advise a Chicago-based investment advisor on its compliance procedures.
- Advise an international auction house on tax and compliance issues.
Complex Civil Litigation
- Act on behalf of former Bear Stearns Chairman James Cayne in a 10b-5 litigation in the Southern District of New York (Sherman v. Bear Stearns Companies Inc. et al., No. 1:2009-cv-08161).
- Successfully defend former Bear Stearns Chairman James Cayne in TILA and 10b-5 litigations in the District of New Hampshire and United States Court of Appeals for the First Circuit.
- Defend a Manhattan real estate developer in litigation related to the Mark Hotel.
- Defend an investment advisor in various employment litigations.
- Represent a witness in SEC v. Tourre, 10-cv-03229 (S.D.N.Y.).
- Defend the former COO of a hedge fund at arbitration.
- Bring a AAA arbitration against a venture capital fund on behalf of a wealthy foreign investor.
- Represent a Real Estate & Hospitality unicorn in various employment litigations with issues including: wrongful termination, harassment, discrimination, wage/hour issues, FLSA, me
- Successfully obtain contested asylum for clients from Jamaica, Burundi & Pakistan and Iraq.
- Represent a Manhattan private school in a pre-litigation investigation and supervise insurance counsel.
- As co-counsel with the Brooklyn Defender Services, appeal excessive bail determinations for numerous indigent defendants in Kings County Supreme Court.
- Represent indigent criminal defendants in the Southern District of New York.
- Represent the City of New York in EBTs in tort actions pending in New York Supreme Court.
- Represent the victim of domestic abuse in an investigation conducted by the NYPD.
- Serve on various UJA Federation of New York committees.