Cases
Representative Matters: Successfully represented a Fintech company subject to an SEC investigation, resulting in a resolution involving only a books
records violation, with no charges of scienter-based fraud or negligence,
a modest fine.
Successfully represented defendant in a three co-defendant insider trading case. Facing 37 to 46 months in prison after pleading guilty in the SDNY, the client received a sentence of probation of 4 years, 4 months home confinement,
no penalty.
Representing U.S. company for OFAC matters connected to Zimbabwe.
Representing EU company related to OFAC matters involving South Sudan.
Representing an Eastern European executive subject to foreign extradition proceedings in connection to a U.S. DOJ indictment for alleged trafficking of controlled substances.
Representing a New Jersey Healthcare provider subject to an audit by the State of New Jersey, Office of the State Comptroller, Medicaid Fraud Division.
Representing a subject of the Panama Papers investigation commenced by the U.S. Attorney's Office for the Southern District of New York.
Defended an Investment Manager, based in Puerto Rico
New York City,
Private Equity Fund subject to an investigation by the SEC based in Denver.
Successfully defended publicly traded company subject to FINRA insider trading inquiry.
Successfully defended US publicly traded LatAm company subject to US criminal investigation for immigration fraud resulting in a written declination from federal prosecutors
saving the client tens of millions in investigation fees.
Defending major accounting firm before the New York Department of Financial Services.
Defending trader in Asia before the Chicago Mercantile Exchange
the New York Mercantile Exchange.
Representing 3 major New York institutions involved in matters before the New York Department of Financial Services.
Successfully prosecuted civilly title 28 Section 1782 US Discovery in Aid of Foreign Proceeding for clients in Cayman Isl
s resulting, after depositions
production of documents, a favor settlement.
Successfully defended trader in U.S.
Foreign joint LIBOR investigation resulting in no action.
Successfully defended former employee of major consulting firm from SEC insider trading investigation resulting in no action.
Successfully defended publicly traded fashion/apparel company in connection to FINRA insider trading inquiry.
Successfully defended a senior finance employee of publicly traded company who is a target of a SEC insider trading investigation resulting in no action taken by the New York Regional Office of the SEC.
Successfully defended client physician subject to an ongoing multiple state medical board inquiries
ongoing criminal investigation with no action against him.
Defended client physician witness in ongoing DOJ criminal investigation.
Successfully defended international medical device company in connection to an off-label marketing investigation by a DOJ Health Care Fraud unit with no action against the company.
Defended Philadelphia-based Broker Dealer from FINRA examination
following on the record interviews.
Foreign Corrupt Practices Act: Conducted investigation in Greece related to potential violations.
Conducting risk assessment
creation of comprehensive global anti-corruption compliance program for US software developer.
Completed risk assessment
creation of comprehensive global anti-corruption compliance program for $3 billion foreign company with operations in over 60 countries.
Defending three clients in a high risk continent with regards to allegations of potential violations of the FCPA.
Successfully defended global UK company related to FCPA
Bribery Act 2010 matters worldwide resulting in no charges.
Conducted global FCPA risk assessment for leading software technology client with significant operations in Asia.
