•Representation of corporate officer of national homebuilding company in securities class action and derivative cases, SEC litigation, and governmental investigation.
•Representation of public nursing home company in connection with internal investigation involving False Claims Act and Medicaid issues.
•Representation of corporate officer and general counsel of software company in securities class actions and opt-out litigation, SEC investigation and litigation and federal criminal proceedings.
•Representation of manufacturer of fiberglass insulation products in antitrust class actions.
•Representation of public nursing home company in securities class action.
•Representation of national stock car racing association in antitrust class action.
•Representation of professional medical association in antitrust litigation.
•Representation of manufacturer of painted aluminum products in antitrust investigation and class action.
•Representation of special committee of board of directors of software company in stock options backdating investigation.
•Representations, in three stock option investigations, of chief accounting officers and board members.
•Representation of specialty steel pipe manufacturer in antitrust class action.
•Representation of Chairman & CEO of public nursing home company in criminal prosecution for Medicare fraud.
•Representation of officer of medical software company in federal kickback investigation.
•Representation of numerous corporate officers in insider trading investigation.
•Representation of CFO of medical software company in SEC investigation and securities class action.
•Representation of President & COO of public jewelry retailer in SEC investigation and securities class action.
•Representation of Chairman and CEO of public real estate and construction company in internal investigation, SEC investigation and securities class action.
•Representation of the CEO of a public company in an SEC enforcement action filed in federal district court alleging false public disclosures. SEC v. Stinger Systems, Inc. (1:08-cv-00294-WBH). Obtained dismissal of all charges after SEC rested its case.
•Representation of SEC-registered investment adviser managing over $1 billion in assets in SEC investigation into the valuation of adviser's alternative assets.
•Representation of executive officer of an NYSE company in SEC insider trading investigation related to earnings announcement. After receiving Wells notice, persuaded the SEC staff not to pursue charges.
•Representation of four managers at a top-five investment bank during investigations conducted by the SEC and NYSE into mutual fund market timing by hedge funds. After receiving Wells notice, persuaded regulators not to pursue charges.
•Representation SEC-registered investment adviser in response to deficiency letter issued by SEC examination staff.
•Represented president of NASDAQ company in audit committee and joint DOJ / SEC investigation into credit reporting and earnings smoothing. No action filed.
•Represented bank broker-dealer in connection with FINRA investigation into allegations of excessive trading.
•Conducted an internal accounting investigation on behalf of the Audit Committee of a government-run hospital.
•Represented corporate executive of NASDAQ company in audit committee and SEC investigation into vendor allowances and revenue recognition. No action filed.
•Represented chief accounting officer of NYSE company in audit committee and joint DOJ / SEC investigation into accounting for vendor rebates. No action filed.
•Represented former chief financial officer of Fortune 100 company in audit committee and SEC investigation into stock options backdating. No action filed.
•Representation of numerous directors, chief executive officers, chief financial officers, other executives, traders, and other individuals in insider trading and financial fraud investigations conducted by the SEC in which no actions were filed.