Civil Litigation, Securities & Regulatory
Regulatory counsel to financial services companies and industry management
- Regulatory counsel to M&A advisory firm on private placement due diligence requirements
- Advisor to broker-dealers and investment managers during SEC SEA Rule 17a-5 audits
- Advisor to hedge fund on “market manipulation” compliance
- Counsel to industry executives during FINRA Rule 8210 examinations, as well as regulatory disclosure issues in connection with Form U4 filings
Complex Civil Litigation
- Arbitration before the American Arbitration Association representing broker-dealer in fee dispute with investment advisor customer
- Counsel to financial advisor in alleged theft of trade secrets and intellectual property from global bank holding company
- Represented hedge fund analyst in civil matter commenced by former hedge fund employer alleging theft of trade secrets and intellectual property
- Special counsel to Chapter 7 Trustee for a broker-dealer prosecuting civil claims against former officers and managers
- Attorney to broker-dealer in New York State Supreme Court matter commenced by former employees on an injunctive relief application
- Litigation Counsel to broker-dealer challenging emergency involuntary bankruptcy petition for chapter 7 trustee
- On behalf of broker-dealer, commenced auditor malpractice action against national accounting firm
Securities Litigation
- Counsel to broker-dealer in parallel criminal and SEC enforcement action in FCPA investigation
- Attorneys for investor accused of insider trading in “tippee” case commenced by the SEC