Cases
Representative Matters: Investment Advisers
Broker-Dealers: Represented registered investment adviser in connection with an investigation by the Securities
Exchange Commission involving undisclosed conflicts of interest resulting from certain payments received by adviser
its affiliate.
Represented a licensed insurance agent
registered representative in connection with investigations by the Securities
Exchange Commission, New Jersey Bureau of Securities
FINRA involving individual's connection to a large Ponzi scheme.
Representation of a registered investment adviser to a family of mutual funds with respect to a distribution in guise investigation conducted by the SEC's Asset Management Unit. Obtained a termination letter from the SEC.
Representation of a Robo adviser with respect to an SEC investigation regarding potential misrepresentations
omissions to clients
investors. Obtained a termination letter from the SEC.
Representation of registered investment advisers in connection with third-partysubpoenas issued in a civil investigation by the U.S. Attorney's Office for the Southern District of New York
an SEC investigation involving foreign currency trading.
Representation of a registered investment adviser in connection with an investigation by the SEC involving the calculation of management fees
expenses.
Representation of former general counsel of publicly traded real estate investment trust in SEC investigation regarding various disclosure issues.
Representation of a registered investment adviser in connection with Pay-to-Play investigation being conducted by the U.S. Attorney's Office for the Middle District of Pennsylvania involving payments to several PA Treasurers.
Representation of an individual in insider trading investigation by the SEC
DOJ involving several layers of tipping. Obtained a declination letter from DOJ.
CFTC
NFA Investigations: Representation of a former trader charged in a market manipulation action filed by the CFTC.
Representation of an individual in connection with a CFTC investigation focused on foreign currency trading in a pooled investment vehicle.
FINRA Enforcement Investigations: Represented an insurance agent in connection with investigations by FINRA, the SEC
the New Jersey Bureau of Securities in relating to the clients' recommendation to his clients to purchase certain unregistered securities issued by a company that ended up being a Ponzi scheme.
Represented a financial adviser in connection with a FINRA investigation focused on certain potential conflicts of interest relating to the financial adviser's recommendations to purchase certain exempt securities.
Represented a financial adviser in connection with a FINRA investigation focus on the financial adviser's alleged failure to report a felony conviction. After the investigation, FINRA did not take any action against the financial adviser.
Public Companies
their Officers, Directors
Employees: Representation of former CFO of a public company in connection with an SEC investigation focused on revenue recognition related to sales of software, hardware,
professional services.
Representation of a public company in an SEC investigation focused on accounting for,
disclosure of, certain intercompany accounts receivable. Obtained a termination letter from the SEC.
Representation of a former CEO of a microcap public company in connection with SEC
DOJ investigations regarding the manipulation of the company's stock as well as misleading
false statements in public filings.
Representation of a former CEO of a public company in connection with an SEC investigation involving potential misrepresentations
omissions in public filings, press releases
earnings calls.
Representation of a bank officer in connection with an SEC investigation involving its accounting
internal controls relating to loan loss reserves for commercial loans, its public disclosures regarding loan loss reserves.
Representation of a former CEO of a public issuer domiciled in Greece in market manipulation actions charged by the SEC
the U.S. Attorney's Office for the Eastern District of Pennsylvania.
Representation of securities lawyer specializing in providing services to microcap companies in connection with investigations by the SEC
DOJ. DOJ did not take any action.
Private Companies: Representation of a Nevada-based trust company being investigated by the SEC in connection with certain private offerings of securities.
Representation of a third-party service provider to hedge funds
private equity funds in connection with an SEC investigation regarding a registered investment adviser's disclosure of fees. Resulted in no action being taken against the service provider.
Representation of a commercial lender in connection with an SEC investigation regarding the offer
sale of promissory notes
related disclosures regarding the use of sales proceeds.
Representation of a sponsor of an EB-5 Visa program in connection with an SEC investigation focused on disclosures to investors
potential investors. Obtained a termination letter from the SEC.
Internal Investigations: Conducted, on behalf of a pharmaceutical company, an internal investigation involving potential unlawful insider trading by a senior executive as well as potential whistleblower
retaliation claims.
Conducted, on behalf of a pharmaceutical company, an internal investigation involving allegations of wrongful termination based on certain conflicts of interest.
Representation of a major public university in an ongoing internal investigation involving allegations of sexual misconduct by a professor.
Compliance
Consulting Representations: Counsel registered investment advisers in connection with SEC regulatory examinations regarding appropriate strategies to avoid significant deficiencies
enforcement referrals.
Counsel clients in assessing
revising policies, procedures, processes,
controls in connection with the complex
often overlapping regulatory requirements under which registered investment advisers
broker-dealers operate.
Counsel clients with respect to FCPA compliance, including policies
procedures. Advise boards of directors of registered investment companies with regard to SEC issues.
Counsel insurance companies in connection with responding to NYDFS Section 308 investigative notices seeking to confirm compliance with OFAC sanction rules.
Engagements while at the U.S. Securities
Exchange Commission: Led an investigation that resulted in the SEC charging the State of New Jersey with securities fraud based upon misrepresentations
omissions in the State's pension funding obligations for its two largest pension funds in connection with billions of dollars on municipal bond offerings.
Led an investigation involving undisclosed markups
markdowns on an international broker- dealers retail trading desk which resulted in civil
criminal charges being filed against three traders.
