SEC v. David Brooks: Representation of the estate of David Brooks, the former CEO of DHB Industries, in $200 million securities fraud enforcement action brought in conjunction with parallel criminal, civil forfeiture and corporate bankruptcy proceedings in New York and Delaware. MNR assisted the client in obtaining a global settlement resul [...]
SEC v. Levin: Representation of defendant who created several investment companies that were the largest “feeder” funds that invested in Scott Rothstein’s $1.2 billion Ponzi scheme. MNR obtained a significantly reduced penalty for the client, and on appeal obtained a reversal of liability on an issue of first impression.
SEC v. Ruderman: Representation of former chairman and CEO of 1 Global Capital, LLC, a merchant cash advance business, in SEC enforcement action alleging securities fraud violations and seeking in excess of $250 million in disgorgement and penalties.
Representation of the CEO of a New York investment firm in response to a SEC investigation into allegations of insider trading.
SEC v. Shapiro: Representation of relief defendant who was the wife of Woodbridge Financial Group’s principal and CEO, Robert Shapiro, along with related entities, in an SEC enforcement action alleging that Woodbridge ran a $1.2 billion dollar Ponzi scheme that marketed real estate investment products to retail investors.
Representation of a technology company in an investigation being conducted by the SEC and DOJ into possible violations of the FCPA arising out of certain Mexican projects.
Representation of a private school in an investigation into the current and former practices of the athletic department at the school and the implementation of new policies and protocol.
Representation of Thurgauer Kantonalbank, Switzerland as an Independent Examiner to conduct a factual investigation into the bank’s conduct related to the U.S./Swiss Bank Program investigation. Ultimately, DOJ confirmed MNR’s findings and agreed that the Bank did not engage in any criminal violations in the United States.
FTC v. American Student Loan Consolidators: Representation of companies providing student debt relief services and their principles in FTC enforcement action alleging that defendants mispresented their affiliations to student loan providers and violated various telemarketing and debt collection laws and regulations.