Represented the SEC in one of its largest 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. Coordinated with DOJ on parallel criminal proceedings that led to four guilty pleas.
Represented the SEC in its first enforcement action based on issuer’s failure to disclose and accrue a loss contingency arising from a False Claims Act investigation. Obtained penalties and injunctive relief.
Represented the SEC in its first enforcement action in district court charging violations of Regulation SHO. Obtained disgorgement, interest, penalty, and injunctive relief.
Represented the SEC in its first enforcement action charging violations of Section 11 of the Investment Company Act. Obtained penalty and non-monetary relief.
Represented the SEC in an insider trading case against former U.S. congressman for misappropriating confidential information from consulting clients and using it to trade ahead of merger announcements. Coordinated with DOJ on parallel criminal proceeding that led to conviction at trial.
Represented the SEC in proceeding against steel pipe manufacturer for FCPA violations arising from alleged bribery in Brazil. Obtained disgorgement, interest, penalty, and non-monetary relief.
Represented the SEC in action against registered investment adviser for marketing complex investment strategy with inadequate training for employees and insufficient disclosures to investors. Obtained disgorgement, interest, penalty, and non-monetary relief.
Represented the SEC in an insider trading case against six defendants in Silicon Valley who shared and traded on nonpublic information about corporate announcements. Coordinated with DOJ on parallel criminal proceedings that resulted in three guilty pleas.
Represented the SEC in case against stock promoter for alleged illegal touting and securities fraud. Obtained asset freeze followed by disgorgement, interest, and penalties.
Represented the SEC in an insider trading case against biotech executive who traded on confidential information about drug trial. Coordinated with DOJ on parallel criminal case resulting in guilty plea.
Conducted internal investigation for U.S. subsidiary of foreign issuer regarding accounting, books and records, and related compliance issues.
Provided SEC compliance advice to registered investment adviser.
Represented government contractor in DOJ grand jury investigation.
Conducted international compliance review for public company, focusing on issues and risks under the FCPA, the antitrust laws, and certain fraud statutes.
Represented public auto parts company responding to DOJ investigation regarding possible antitrust and fraud issues.
Won dismissal of several FCA cases against government contractors in which relators alleged that contractors misrepresented the country of origin of products sold to government.
Represented government contractor trade association as amicus curiae in FCA appeal before D.C. Circuit, and secured favorable ruling regarding contractor’s reasonable reliance on supplier’s certification regarding products’ country of origin.
Conducted internal investigation regarding potential false claims submitted by government contractor at Naval Air Station.
Represented ship builder in FCA case brought by government, alleging misclassification of certain costs on government contracts.
Obtained summary judgment and dismissal in two tort cases against government contractors arising from alleged actions in war zones overseas.
In arbitration arising from partnership dispute, defeated all of plaintiff’s claims, won all counterclaims, and obtained $5.3 million award for client. Obtained confirmation of award in state trial court and successfully defended award on appeal to Supreme Court of Virginia.