Division of Enforcement Director’s Awards, 2018, 2023
Special Act Awards, 2015-2017, 2019-2024
Washington Lawyers’ Committee for Civil Rights and Urban Affairs
Outstanding Achievement Awards, 2010, 2012
U.S. Securities and Exchange Commission Law and Policy Award, 2024 Ellen B. Ross Award, 2024 Division of Enforcement Director’s Awards, 2018, 2023 Special Act Awards, 2015-2017, 2019-2024 Washington Lawyers’ Committee for Civil Rights and Urban Affairs Outstanding Achievement Awards, 2010, 2012 One of the largest SEC enforcement matters (in dollar terms) in which registered investment adviser paid more than $1 billion in disgorgement, interest, and penalties for misleading investors about risks and performance of private funds (see Allianz Global Investors U.S. LLC, Exchange Act Release No. 94927 (May 17, 2022); SEC v. Tournant, No. 22-cv-4016 (S.D.N.Y.)). Several first-of-their-kind enforcement actions, including SEC v. RPM International Inc., No. 16-cv-1803 (D.D.C.) (first SEC enforcement action based on failure to disclose and accrue loss contingency for False Claims Act investigation); SEC v. BTIG, LLC, No. 21-cv-4521 (S.D.N.Y.) (first SEC enforcement action in district court charging violations of Regulation SHO); and RiverSource Distributors, Inc., Exchange Act Release No. 94978 (May 25, 2022) (first SEC enforcement action charging violations of Section 11 of the Investment Company Act). Insider trading case against former U.S. congressman for misappropriating confidential information from consulting clients and using it to trade ahead of merger announcements (see SEC v. Buyer, No. 22-cv-6279 (S.D.N.Y.)). Proceeding against steel pipe manufacturer for FCPA violations arising from alleged bribery in Brazil (see Tenaris S.A., Exchange Act Release No. 95030 (June 2, 2022)). Action against registered investment adviser for marketing complex investment strategy with inadequate training for employees and insufficient disclosures to investors (see UBS Fin. Servs. Inc., Exchange Act Release No. 95168 (June 29, 2022)). Insider trading case against six defendants in Silicon Valley who shared and traded on nonpublic information about corporate announcements. Obtained penalties and coordinated with prosecutors on parallel criminal proceedings that resulted in three guilty pleas (see SEC v. Brown, No. 21-cv-4594 (N.D. Cal.)). Case against stock promoter for alleged illegal touting and securities fraud. Obtained asset freeze and then $4.1 million in disgorgement, interest, and penalties (see SEC v. Friedland, No. 18-cv-529 (D. Colo.)). Insider trading case against biotech executive who traded on confidential information about drug trial. Obtained disgorgement and coordinated with prosecutors on parallel criminal case resulting in guilty plea (see SEC v. Gadimian, No. 16-cv-11955 (D. Mass.)).
