Experience

• Corporate Representations

  • A global financial institution in an internal investigation related to SAR filings.
  • A prominent company in the health care industry in a DOJ criminal investigation into certain billing practices.
  • A major law firm in a DOJ prosecution of one of its partners.
  • A global financial institution in a DOJ investigation of potential FCPA violations involving its private equity arm, resulting in the DOJ declining prosecution and closing its investigation.
  • A major European financial institution in an SEC insider trading investigation that resulted in the SEC closing its investigation.
  • A global consulting company in multiple bankruptcy proceedings and related matters, including a trial, concerning disclosure practices.
  • A global insurance company in SEC and DFS investigations related to financial reporting and internal controls issues.
  • A global FinTech company in multiple internal investigations focused on compliance and personnel issues.
  • A global insurance company in multiple internal investigations related to accounting practices and handling of sensitive information.
  • A major financial institution in an investigation and civil action by a court-appointed receiver.
  • A leading asset management firm and its professionals in a DOJ investigation focused on alleged fraud in corporate debt financing transactions.
  • A major charitable foundation in a civil forfeiture action in federal court.
  • A global financial institution in government investigations into Russian money laundering activity.
  • A Japanese global trading and investment company in a DOJ investigation of potential sanctions violations.
  • A major university in an internal investigation and a NYAG investigation into alleged market manipulation by one of its licensees.
  • A New York university hospital in an internal investigation related to allegations of sexual abuse by one of its former physicians.
  • A Special Committee of the Board of Trustees of a University in an independent investigation of all claims alleged in EEOC and federal complaints filed by eight current and former University faculty members and students.
  • Ongoing compliance advice to clients regarding the Foreign Corrupt Practices Act, various banking regulators, and anti-money laundering.

• Individual Representations

  • The head of a trading desk for a global trading and mining company in DOJ and CFTC investigations of alleged market manipulation and FCPA violations.
  • The founder and CEO of a healthcare company in a DOJ inquiry and internal investigation related to the sale of Covid-19 tests.
  • The Chair of the Board and senior executives of a publicly traded company in an internal audit and SEC investigation focused on related party transactions.
  • The founder and CEO of an online pharmaceutical company in a DOJ investigation related to alleged healthcare fraud and violations of the federal anti-kickback statute.
  • The Chair of the Board of a global healthcare management provider & biotechnology developer in a DOJ investigation of alleged trade secret and intellectual property theft.
  • The founder, Chairman and CEO of an investment fund in an SEC inquiry related to alleged misrepresentations in public filings.
  • A former senior executive of a global healthcare company in DOJ and SEC investigations of potential accounting and FCPA issues.
  • A senior executive of a major technology company in an SEC insider trading investigation.
  • A senior trader at large financial institutions in a DOJ investigation for alleged fraud in auctions and trading of securities issued by the Treasury Department.
  • A reporter in DOJ and SEC investigations concerning alleged insider trading.
  • An individual in DOJ and SEC investigations and prosecutions for insider trading.
  • The owner and director of a Singapore-based commodities company in a DOJ prosecution for alleged bank fraud and sanctions violations.
  • The co-founder of a real estate capital advisory firm in a NYAG investigation of alleged mortgage fraud.