Representation of a city manager in a SEC investigation into alleged 10b-5 violations of securities laws related to city bond offerings and other financial filings
Representation of the Chief Executive Officer of a publically-traded corporation on federal securities fraud charges related to tax and accounting fraud.
Representation of a hedge fund executive in an SEC enforcement action related to alleged registration and offering violations of securities laws
Representation of the Chief Executive Officer of a New York investment firm in response to a U.S. Securities and Exchange Commission investigation into allegations of insider trading
Representation of the chief executive officer of an international bank based in Miami in investigation by the Securities & Exchange Commission into alleged securities violations.
Representation of George Levin in SEC v. Levin, an SEC enforcement action related to Scott Rothstein’s $1.2 billion Ponzi scheme. Levin created several investment companies that, collectively, were the largest “feeder” funds that invested in Rothstein’s Ponzi scheme.
Representation of Timothy Rigas, the former Chief Financial Officer of Adelphia Communications Corporation in U.S. v. Rigas, et al. in the Southern District of New York.
Representation of a former Commodity Pool Operator extradited from Germany in a criminal prosecution by the U.S. Department of Justice for securities fraud and obstruction of justice in connection with the alleged unlawful trading of commodity futures.
Representation of the Chief Executive Officer of a publically-traded corporation in an SEC enforcement action alleging accounting fraud, improper revenue recognition, lying to auditors and fraudulent public reporting.
Representation of an individual in pre-trial negotiations with the Manhattan District Attorney’s Office involving a “pump and dump” stock fraud investigation. Client ultimately was given a non-prosecution agreement.