Experience

• Securities Enforcement and White Collar Defense

  • A global financial services firm in an internal investigation and parallel government investigations into the practices of its foreign currency traders.
  • A global real estate company in an investigation led by the SEC, SDNY and other regulatory inquiries.
  • A large hedge fund in an SEC investigation related to DMM activity.
  • A global financial services company in an SEC investigation into its investment adviser and broker-dealer sales practices that resulted in a declination by the government.
  • A hedge fund in securing a declination from the SEC in connection with an investigation of its trades in the securities of a target company.
  • A national bank in responding to inquiries by the NYAG and DOJ concerning a specialty commercial lending business.
  • A national bank in an internal investigation arising out of whistleblower claims related to fair lending and Community Reinvestment Act practices in connection with bank branch locations.
  • A technology company in Senate and House Intelligence Committee investigations into the attempted manipulation of social media by foreign governments to influence elections.
  • A multinational financial services company in an SEC investigation involving sales practice for retirement plans.
  • A FinTech company in securing a closing letter in an SEC investigation regarding debit card related disclosures.
  • A FinTech company in an internal investigation of marketing practices following a whistleblower complaint.
  • A major manufacturing company in a review of an SEC whistleblower complaint.
  • A multinational financial services company in an SEC investigation concerning alleged cross-trading.
  • A multinational financial services company in an SEC investigation into securities lending practices.
  • The Audit Committee of the Board of a FinTech company in a whistleblower investigation.
  • An accounting firm in DOJ and SEC investigations into one of its public company audit clients.
  • A large hedge fund in a CFTC investigation of binary options and other swap transactions.
  • A private equity firm in an SEC investigation involving alleged misconduct of a senior executive.
  • An accounting firm in an SEC investigation regarding disclosures of a public company audit client.
  • A multinational financial services company in an assessment of its off-channel communications policies.
  • A public company in an SEC investigation regarding insider trading allegations.

• Sensitive Investigations

  • The Board of Directors of a financial services company in an internal review of senior executive misconduct.
  • The Board of Directors of an independent school in an investigation of allegations of faculty misconduct.
  • A prominent boarding school in an investigation and evaluation concerning various racial discrimination concerns.
  • A publicly traded technology company in conducting an independent investigation into alleged misconduct by a senior executive.
  • The Board of an independent school in a comprehensive, internal review of allegations by faculty and students regarding racial insensitivity, harassment and bullying.
  • A Special Committee of the Board of Trustees of an independent school in a review of social media complaints alleging racial intolerance by school faculty members.
  • The Board of the Cleveland Orchestra in an independent investigation of allegations of sexual misconduct by two musicians.
  • A software company in an internal investigation into allegations of sexual misconduct concerning a senior executive.
  • A Canadian Financial Company in conducting a racial equity assessment of the company’s various products, services, and practices in response to a shareholder demand.
  • The Board of a prominent global non-profit organization in a review of allegations of senior management misconduct.
  • An independent school in managing a sensitive matter involving a senior administrator.
  • A special committee of a publicly traded software company in an internal investigation of whistleblower allegations regarding conduct of a c-suite executive.
  • An insurance company in a racial equity audit of its business practices in response to a shareholder demand.