Representative Cases

White-Collar Criminal and Government Enforcement Defense

Our white-collar criminal defense and government regulatory practice includes representation of the following:

  • A former Wells Fargo trader charged with insider trading by the SEC in an Administrative Proceeding (AP). We won the trial, which was affirmed by the Commission
  • Former Chairman and CEO of a tech start up charged with securities fraud by the U.S. Attorney’s Office and the SEC.
  • Three current/former employees of a public company for whom we successfully obtained immunity in connection with a prosecution by the U.S. Attorney’s Office in Boston.
  • A public company that was the target of “pump and dump” stock fraud investigations by the U.S. Attorney’s Office and the SEC.
  • Individuals charged with insider trading by the U.S. Attorney’s Office and the SEC.
  • A hedge fund under investigation by the SEC for violations of the anti-fraud provisions of the Investment Adviser Act.
  • A criminal defendant indicted by the U.S. Attorney’s Office for the Southern District of New York for allegedly operating an illegal gambling business, as part of a 30 plus defendant indictment involving racketeering charges, illegal gambling and money-laundering. We successfully obtained a sentence of probation.
  • The former owner of a company who is the target of an SEC investigation involving allegations of accounting fraud.
  • The founder of a not-for-profit organization who was the target of an investigation by the Charities Bureau of the New York Attorney General’s Office.
  • The Director of a broker-dealer who is the subject of a FINRA investigation.
  • The director of billing for a large medical practice, who was the subject of a healthcare fraud investigation by the U.S. Attorney’s Office for the Southern District of New York.
  • The former co-head of Quality Control at a major international financial institution in connection with an investigation by the New York Attorney General’s Office regarding residential mortgage-backed securities (RMBS).
  • A former manager of a public company in a high-profile insider trading prosecution by the U.S. Attorney’s Office for the Southern District of New York. The Government charged the individual with conspiracy to commit securities fraud and wire fraud arising out of the release of nonpublic information to an expert-networking firm consultant for which he faced a sentence of up to five years in prison. We successfully secured a sentence of probation with no prison term.
  • The former Budget Director of the Town of East Hampton who was charged in a New York State indictment with securities fraud and mismanagement of the Town’s community preservation fund. We successfully negotiated a misdemeanor plea with no prison term.
  • An individual who was the subject of a federal criminal investigation into allegations of conspiracy with Marc Dreier to impersonate holders of fictitious securities. We persuaded the U.S. Attorney’s Office for the Southern District of New York that no prosecution was warranted.
  • Targets in federal criminal tax investigations by the U.S. Department of Justice, and the U.S. Attorney’s Offices for the Southern and Eastern Districts of New York.
  • A financial services management organization in investigations by the New York Attorney General’s Office and the New York City Department of Investigation.
  • A former employee of a Fortune 50 company in connection with an investigation by the New York City Department of Investigation.
  • An environmental company in connection with a prosecution by the Antitrust Division of the U.S. Department of Justice. We successfully secured immunity prior to testimony by the company’s president.
  • A witness in an investigation by the U.S. Department of Justice and the Federal Communications Commission.
  • A multi-national fashion company for which we acted as an internal monitor and trained the Chief Financial Officer and other employees regarding compliance with tax rules in connection with certain cash sales.
  • Former hedge fund and financial service employees in investigations by the U.S. Securities and Exchange Commission.
  • A hedge fund employee in an insider-trading internal investigation conducted by the fund, parallel to an investigation by the U.S. Securities and Exchange Commission, which resulted in no charges against the employee.

Business Litigation

Our business litigation practice includes representation of the following:

  • A former employee of an art gallery in a high-profile civil RICO litigation in the Southern District of New York involving claims of fraudulent art sales. Our client was the only client to successfully avoid trial through a summary judgment win.
  • A hedge fund in third-party federal litigation against Bank of America.
  • A former General Counsel of a title insurance company who was sued in several cases in New York State’s Commercial Division for fraud, breach of fiduciary duty and negligence.
  • An investor in a private offering whose funds were seized pursuant to a warrantless civil forfeiture seizure by the U.S. Attorney’s Office for the Southern District of New York.
  • A former broker who is the defendant in a FINRA arbitration pertaining to his retention bonus by his former broker-dealer employer.
  • A major New York financial institution in a federal commercial action. We secured a non-monetary stipulation of dismissal with prejudice in favor of the client.
  • A chairman in an internal investigation regarding allegations of sexual harassment.
  • A real estate company in a federal court trial involving claims of breach of contract and breach of fiduciary duty. We successfully litigated the post-trial reduction of the jury award based on insufficient evidence. We also successfully recovered sanctions, including recovery of attorneys’ fees, against the opposing party for discovery violations.
  • A former Chief Financial Officer of a publicly traded company in a number of federal and state securities class actions and class derivative actions.
  • A film production company in a film financing contract dispute. We negotiated a favorable settlement after aggressive motion practice.
  • An institutional investor that objected to a federal securities class action settlement plan of allocation. We secured a five-fold increase in the client’s recovery.
  • A Mexican company in a state court commercial contract dispute. We secured a favorable settlement after aggressive motion practice and negotiation.
  • A quasi-governmental Canadian agency in federal breach of contract actions. We secured favorable monetary settlements.
  • A major California law firm, as co-counsel, in a bankruptcy action in the Southern District of New York.
  • A major Chicago firm, as co-counsel, in an appeal of a bankruptcy decision before the U.S. District Court for the Southern District of New York.
  • Executives and hedge-fund employees in connection with review and negotiation of their employment agreements, including severance agreements and non-compete and non-solicitation agreements.