- Representing a mutual fund manager in an SEC investigation and related class action litigation seeking $70 Million
in alleged fund losses
- Successful defense of traders in Federal criminal prosecution alleging commodities fraud in propane
trading
- Defense of futures commission merchant in CFTC civil enforcement action alleging fraud in connection with foreign
exchange trading
- Successful prosecution and defense of customer and member-member arbitration claims before the NASD, NYSE, NFA,
CBOT, CBOE and AAA involving allegations of churning, suitability, improper portfolio management, fraud and a wide variety of exchange-floor and electronic-trading misconduct
- Prosecution of a multi-million dollar “raiding” claim on behalf of a regional
broker-dealer
- Defense of a registered representative in parallel disciplinary proceedings alleging violations of Federal
currency transaction reporting regulations
- Defense of a bank president in an FDIC investigation alleging improper lending
practices
- Defense of claims against outside directors of banks taken over by the FDIC for
undercapitalization
- Defense of the Chief Financial Officer and board member of an issuer in a federal criminal investigation and a shareholder class action alleging
fraud in an initial public offering
- Defense of Federal civil forfeiture actions against registered representatives and purchasers of the initial public stock offering of a Federal
Savings and Loan conversion
- Defense of multiple individuals in an SEC investigation involving internet marketing of securities
- Defense of private investors, registered representatives and broker-dealers in SEC investigations involving allegations of insider
trading
- Defense of “raiding” and related trade secret claims brought by Merrill Lynch against a regional broker-dealer
- Prosecution and defense of claims based upon restrictive covenants and non-competes involving members of senior management in major banks,
broker-dealers, law and accounting firms
- Defense of a co-managing underwriter and directors in initial and secondary stock offerings in shareholder class action suits alleging fraud in
offering materials
- Defense of a registered broker-dealer’s trading department supervisor in a disciplinary action brought by the New York Stock Exchange alleging
aiding and abetting wash and matched sales
- Defense of Chicago Board of Trade T-bond traders in an exchange investigation and a CFTC enforcement action alleging unlawful “Ginzy”
trading
- Defense of a major stock exchange in an SEC investigation involving allegations of fraud in connection with certain clearing
services
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