SEC Enforcement Defense & Regulatory Counseling

Global pharmaceutical company in an SEC investigation that resulted in no penalties.

Pharmaceutical company in connection with a short-seller attack and related SEC investigation and litigation.

Power generation company in connection with an SEC investigation that resulted in the closing of the investigation without action.

Clean energy company in connection with an SEC investigation that resulted in the closing of the investigation without action.

Industrial company in an SEC investigation that resulted in a closing letter and no charges.

Former CFO of an automotive company in an SEC investigation relating to disclosures made during a capital raise.

International investment bank in a “dark pool” trading, marketing and disclosure investigation by the SEC and NYAG. The SEC and NYAG brought charges against similar firms but not against our client.

Leading investment firm with over $57 billion under management in connection with insider-trading related issues.

Asset manager of a registered closed-end fund in an enforcement matter related to the holding of a shareholder meeting involving an activist group. We successfully resolved the matter with the SEC by demonstrating that the adviser’s actions were appropriate under applicable state and federal law.

Digital asset company in an SEC investigation in connection with the marketing of crypto assets that the SEC contended were investment contracts.

Public company and its executives in SEC and DOJ investigations relating to the securitization and servicing of mortgage-backed assets.

Registered investment adviser in a civil suit filed by the SEC regarding its mutual fund share class selection practices. We helped to obtain a full defense verdict.

Investment adviser in an SEC investigation of related party transactions, Form ADV disclosures and allegations of common control. No charges were filed after a lengthy investigation.

Investment adviser affiliate of a large, multinational professional services company in responding to SEC and Department of Labor inquiries regarding potential breach of fiduciary duty. We successfully convinced both agencies to close the inquiries without enforcement action.

Registered investment adviser affiliate of a Fortune 200 company in connection with an over two-year investigation regarding the investment adviser’s alleged receipt of undisclosed compensation, including 12b-1 fees, and mutual fund share class selection practices. We persuaded the SEC to close the investigation.

Former CFO of Wilmington Trust Company in a high-profile, $360 million complex federal criminal trial and related SEC litigation, involving financial crisis-era accounting and disclosure issues concerning past due commercial real estate and construction loans.

Founder of an electric vehicle startup company in connection with DOJ and SEC inquiries and in connection with various lawsuits related to alleged misstatements relating to technology.

Multiple executives in various criminal investigations, including those related to insider trading and securities fraud.

Former executive of a major cryptocurrency exchange in connection with DOJ investigation.

Former senior executive of a large international insurance company in an investigation by the SEC and NYAG involving accounting and disclosure issues. Criminal and civil charges were brought against a group of individuals, but our client was not charged.

Investment banker in an insider trading investigation by the SEC and Chicago U.S. Attorney’s Office, resulting in a noncustodial sentence of probation.