Representing global energy trading company and its US subsidiary in antitrust and market manipulation enforcement action brought by the California Attorney General and in follow-on federal class actions.
Representing global telecommunications company in civil antitrust matter in federal court.
Representing brokers in an investigation by the Commodity Futures Trading Commission into the use of personal devices and third-party communication platforms to discuss firm business.
Represented global food service company in criminal antitrust prosecution. The Department of Justice dismissed the charges against client short of trial.
Represented a US futures and derivatives exchange by assisting in the prosecution of a market manipulation case on behalf of its Market Regulation Department.
Represented officers of a durable medical equipment company in an alleged criminal Anti-Kickback Statute matter and persuaded the Department of Justice not to charge clients.
Represented officers and traders of multiple high-frequency trading firms and persuaded the Department of Justice and Commodity Futures Trading Commission not to charge clients.
Represented foreign nationals in an SEC insider trading investigation, and wrote Wells Submission that persuaded the SEC not to charge clients.
Represented a plaintiff construction contractor in a jury trial against its insurer, and helped win a multi-million dollar verdict in favor of the plaintiff.
U.S. v. Eric Bloom (2014). As a federal prosecutor, led the four week trial of the former president and CEO of Sentinel Management Group charged with wire fraud and a criminal violation of the Investment Advisers Act. In terms of dollar loss (US$665 million), this was the largest trial in Chicago history. Conviction and sentence affirmed at United States v. Eric Bloom, 846 F.3d 243 (7th Cir. 2017).
U.S. v. Brian Hollnagel et al. (2012). As a federal prosecutor, participated in the seven-week trial of the CEO and CFO of BCI Aircraft Leasing, Inc., and the corporation, charged with fraud and obstruction of justice.
U.S. v. David Sklena (2010). As a federal prosecutor, led the trial of a Chicago Board of Trade floor trader charged with fraud and violations of the Commodity Exchange Act.
U.S. v. Kevin Gore (2011). As a federal prosecutor, led the trial of the COO of a computer company for bank fraud and wire fraud in connection with his submission of false collateral records to a lending institution.
U.S. v. William Allen (2008). As a federal prosecutor, led the trial of a defendant who operated an online marketplace for the distribution of child pornography. Conviction affirmed at United States v. William Allen, 605 F.3d 461 (7th Cir. 2010).
U.S. v. Feyfunmi Sangoleye. As a federal prosecutor, worked on parallel criminal / civil False Claims Act investigation concerning National Institutes of Health grant funding to Northwestern University’s Comprehensive Cancer Center. The US Attorney’s Office charged a professor’s business assistant with theft of federal NIH grant funds, and settled a civil FCA case against the professor).
U.S. v. Philip J. Baker. As a federal prosecutor, led the investigation and prosecution of the managing director of Lake Shore Asset Management in connection with the fraudulent solicitation of nearly US$300 million from investors.
U.S. v. Steven Dombrowski. As a federal prosecutor, led an insider trading investigation and prosecution of the Director of Audit of a publicly traded company.
U.S. v. David Newman. As a federal prosecutor, led the investigation and prosecution of a futures trader for theft of trade secrets in the form of computer code.
U.S. v. Evan Brent Dooley. As a federal prosecutor, represented the government at the sentencing of a defendant convicted of exceeding speculative wheat futures position limits in violation of the Commodity Exchange Act.
Pro bono, represented foreign national small business owners whose cash savings were seized by federal government agents, and recovered all of the assets from the government.
Represented commodity traders and end users in Asia, Latin America, Europe, and the United States in CME and CFTC investigations.
Conducted internal investigations for companies in the health care, commodity futures, and manufacturing industries, and represented those clients in dealings with the US Department of Justice.
Represented trading firms, executives, and traders in CME, CFTC, and federal criminal investigations of alleged market manipulation.
Represented clients under investigation by the SEC in connection with initial coin offerings and securities filings.
Represented securities broker dealers in SEC and FINRA anti-money laundering investigations and enforcement actions.
Represented individuals served with subpoenas to testify before regulatory agencies, federal grand juries, and at trial.
Advised clients who were victims of cyber-intrusions and business email compromise frauds.
On behalf of a commodity trading firm, investigated a rogue trader and coordinated with the US Department of Justice in that matter.
Represented a commodity pool operator in a federal criminal prosecution.
Acted as a Hearing Officer on the Business Conduct Committee of the National Futures Association in several enforcement matters.