Government Enforcement and White Collar Criminal Cases
Successful defense of a former executive at a Fortune 100 company in federal litigation against the SEC involving complex allegations of improper revenue recognition, resulting in all charges being dismissed after over four years of litigation.
Representing several individuals in wide-ranging international white collar criminal investigations regarding allegations of fraud, false statements, and violations of the Clean Air Act and other environmental laws.
Defending several large financial institutions in False Claims Act and FIRREA investigations by the U.S. Department of Justice, HUD, and Offices of Inspectors General (OIG) regarding residential mortgage origination and servicing practices.
Representing internet-based consumer marketplace in CFPB investigation, including formal investigative hearings and responses to civil investigative demands.
Defending members of mutual funds’ board of directors in SEC enforcement proceedings involving fund asset valuation issues.
Representing mutual fund and variable annuity provider in SEC investigation regarding VA product offerings and marketing.
Defense of emerging technology company in SEC investigation and testimony, resulting in declination of enforcement action.
Representing broker-dealer division of national financial institution in FINRA investigation related to advertising and registration regulations.
Defense of registered representative in FINRA investigation concerning allegations of misleading statements in connection with bond market sales practices, resulting in successful declination of enforcement action.
Conducting complex internal investigation for global financial institution regarding anti-money laundering activities at broker-dealer subsidiary and branch offices.
Assisting large financial institutions with internal investigations into issues involving potential False Claims Act and FIRREA liability.
Conducting internal investigation into possible violations of False Claims Act and Anti-Kickback Act for federal government contractor, and assisting client with self-reporting to government agencies.
Private Litigation and Commercial Disputes
Successfully obtained dismissal of all claims in False Claims Act qui tam litigation alleging fraud in connection with small business requirements in government contracts.
Obtained dismissal of all counts against former CEO of manufacturing, energy, and telecommunication company in federal securities class action lawsuit.
Defended and obtained summary judgment in favor of mutual fund provider in excessive fee litigation in federal district court under Section 36(b) of the Investment Company Act.
Successful prosecution of claim on behalf of higher education institution in binding arbitration involving issues of contract interpretation and employment law.
Representing companies and boards of directors in shareholder class action and derivative lawsuits in federal and state courts, involving claims of federal and state securities law violations, breaches of fiduciary duty, corporate dissolution, and common law claims.
Representing recreational facility in class action litigation involving consumer statute and contract claims.
Obtained dismissal of class action lawsuit against brokerage firm alleging breaches of contract and tort duties in operation of online automatic trading platform, and successful affirmance in United States Court of Appeals for the Eighth Circuit.
Successful defense of independent board members in federal shareholder derivative and class action lawsuits alleging breaches of fiduciary duty and RICO violations, and successful affirmance in United States Court of Appeals for the Second Circuit.
Challenge to federal agency action in petition before United States Court of Appeals for the D.C. Circuit under the Administrative Procedures Act, resulting in successful settlement modifying challenged agency procedures.
Petition for writ of certiorari with the United States Supreme Court in connection with representing a member of a public company’s board of directors in discovery dispute involving white collar criminal issues.
Successful appeal of an adverse decision by the Department of Veterans Affairs regarding benefits coverage for a veteran who experienced in-service exposure to harmful agent.