Regulatory and Investigations

• Several global financial institutions in connection with off-channel communications investigations by the SEC and CFTC.
• Several financial advisory firms in SPAC-related investigations by the SEC, DOJ and FINRA.
• A large financial institution in connection with a FINRA investigation concerning whistleblower allegations.
• A large financial institution in connection with a CFTC investigation concerning non-disclosure agreements.
• A group of underwriters in an IPO-related investigation by the SEC.
• Officers and directors in an SEC investigation concerning corporate insider beneficial ownership reporting.
• A global financial institution in an internal investigation concerning research analyst independence.
• A global financial institution in a FINRA investigation concerning margin operations.
• A global financial institution in a NYAG investigation concerning lending products.
• A global financial institution in several internal investigations concerning potential conflicts of interest at a Latin American affiliate.
• A global financial institution in an internal investigation concerning anti- bribery and corruption compliance at a Latin American affiliate.
• A hedge fund in an SEC investigation concerning potential insider trading.
• A cannabis company in an SEC investigation concerning potential insider trading.
• A European banking group in connection with DOJ, District Attorney of New York, OFAC, Federal Reserve and DFS investigations into compliance with U.S. economic sanctions.
• A large financial institution in an internal investigation following the discovery of significant trading losses at the Chief Investment Office. (previous firm experience)
• An executive at a global financial services firm in an SEC investigation of alleged price manipulation and misrepresentations with respect to closed-end mutual funds. (previous firm experience)
• A large financial institution in an SEC investigation concerning customer redemptions from a securities lending program. (previous firm experience)
• Several broker-dealers in SEC and FINRA investigations concerning sales practices, reporting obligations and soft dollar programs. (previous firm experience)

Litigation

• A major financial institution in a FINRA arbitration and state court litigation brought by a former Latin American private banking client alleging fraud, churning and other trading violations.
• A public company in responding to a third-party subpoena in connection with an M&A transaction in Delaware Chancery Court.
• A financial advisory firm in responding to several third-party subpoenas in SPAC-related actions in federal and state court.
• Two financial advisory firms in a SPAC pre-closing suit.
• A financial advisory firm in responding to a third-party subpoena in a high-profile SPAC litigation in Delaware Chancery Court.
• Two defendant prime brokers in industry-wide litigation filed in state and federal courts alleging manipulative short-sale practices. (previous firm experience)
• A large financial institution in a class-action litigation filed in federal court regarding collective investment trust fees. (previous firm experience)