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Practice Areas
Securities
Media and intellectual property
Health care
Energy
Mergers and acquisitions
Corporate employment matters
Corporate asset recovery
Trial and grand jury representation
Complex financial crimes
Securities and commodities fraud
Tax violations
Health care/false claims
Antitrust
Foreign Corrupt Practices Act investigations
International Emergency Economic Powers Act investigations
Prosecutorial and accounting backgrounds
Small, mid-cap and not-for-profits
Business units of large-cap corporations
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Significant Securities-Related Representation
We also offer clients involved in securities matters a high level of
experience enhanced by a deep understanding of the related issues.
Engagements have included:
- Federal and state court litigation.
- The representation of clients in investigations conducted by the
SEC, state regulatory agencies, including the New York Attorney
General's Office, and U.S. Attorney's Offices throughout the country.
- Appearances in arbitrations and enforcement actions before the New
York Stock Exchange, FINRA and the Municipal Securities Rulemaking
Board.
- Internal investigations involving individuals and institutions.
When clients need legal advice and assistance, whether in an offensive
or defensive posture, our firm has the experience required to counsel on
the interrelated effects of such multi-arena demands. In fraud related
to securities we have represented:
- Corporate officers, both domestic and international, in numerous SEC investigations concerning a wide range of alleged fraud.
- Corporate officers, directors and executives, both domestic and international, in corporate internal investigations.
- Clients in actions concerning the allocation of proceeds to multiple
victims through coordination with receivers and regulatory bodies to
maximize recovery for clients, restitution claims, proofs of claims in
bankruptcy court, and by seeking injunctive relief against further loss
of assets.
- Institutional clients in civil litigation during parallel criminal enforcement actions and pending criminal investigations.
- Broker-dealers, their officers and employees, in numerous federal
lawsuits and arbitrations against complaints from customers or other
broker-dealers, including claims of fraud, unauthorized trading and
failure to supervise.
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