Representative Experience

Securities and Regulatory Enforcement Matters

• Represented the third-largest U.S. securities broker-dealer in connection with an SEC investigation into potential anti-money laundering violations.
• Represented a national self-clearing broker-dealer in an SEC civil enforcement action involving alleged violations of anti-money laundering and recordkeeping rules through summary judgment and appeal to the Second Circuit Court of Appeals.
• Represented a broker-dealer in connection with a FINRA disciplinary proceeding alleging violations of FINRA rules and federal securities laws related to pricing and commissions, customer assets, net capital compliance, and recordkeeping rules through hearing and appeal to the FINRA National Adjudicatory Council.
• Represented the chief operations officer of a regional investment adviser in connection with an SEC investigation into alleged violations of the Cash Solicitation Rule and Marketing Rule.
• Represented the deputy chief financial officer of a publicly traded company in connection with a parallel SEC and DOJ investigation into alleged violations of Sections 10(b) and 17(a), as well Rules 10b-5 and 13a-15, of the Securities Exchange Act of 1934.
• Advised a publicly traded company and its directors in a parallel SEC and DOJ investigation into alleged violations of federal securities laws.
• Represented a publicly traded company and its directors and officers in responding to books and records demands and in defending against multidistrict shareholder litigations and securities class actions involving allegations of breach of fiduciary duties and violations of federal securities laws.
• Advised various publicly traded companies in connection with FINRA trade monitoring inquiries.
• Represented various individuals in parallel SEC and DOJ enforcement matters, including matters litigated in federal district court. Achieved favorable negotiated resolutions including cooperation opportunities and credit for reduced sentencing.
• Represented individual investors in civil litigation involving alleged violations of federal securities laws, obtaining a seven-figure judgment in favor of the investors.
• Represented two senior accountants in connection with an SEC investigation into potential violations of the federal securities laws concerning financial statements.
• Advised a hedge fund in connection with a parallel FINRA and SEC inquiry regarding potential violations of the federal securities laws related to trade reporting and disposition of American depositary receipts of foreign issuers.
• Advised several broker-dealers in connection with the management of customer investments in cannabis-related ventures for compliance with state law and provided relevant federal anti-money laundering guidance.

Complex Commercial and Business Disputes

• Represented an individual in a dispute with the FDIC regarding the acquisition of a regional bank. Litigated claims under the Administrative Procedure Act through summary judgment, resulting in a judgment requiring the FDIC to reassess the proposed acquisition under applicable federal banking laws and regulations.
• Represented a foreign bank in an ICC arbitration and related proceedings involving fraud, breach of fiduciary duty, and breach of contract arising out of the bank’s purchase of interests in trade finance loans.
• Represented a global medical technology and life sciences company in a lawsuit alleging misappropriation of trade secrets, breach of contract, patent infringement and various IP-related causes of action.
• Represented a private equity fund in a dispute with the seller of a national supplement company concerning breach of representations and warranties, including an appeal to the New York State Supreme Court, Appellate Division.
• Represented an international manufacturing business in a variety of contract disputes with distributor counterparties, vendors, and customers.
• Represented a private equity fund in a variety of insurance coverage claims related to representations and warranties insurance.
• Represented national banking clients in a variety of foreclosure actions under New York state law.
• Advised clients in various industries (real estate, accounting, marketing) in connection with responding to non-party and governmental subpoenas.