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Representing the Countrywide Entities in securities/RMBS litigation filed by AIG against Countrywide, as well as Bank of America and Merrill Lynch entities.
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Successfully represented dissident shareholder group in proxy contest litigation, with the result that the Annual Meeting and Director election went forward as scheduled and the dissidents were all elected to the Board of Directors.
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Represented broker-dealer in SEC/FINRA enforcement investigation concerning allegations of Regulation SHO violations, resulting in no action by SEC and favorable settlement with FINRA.
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Representing national broker-dealer client in connection with FINRA investigation of mutual fund sales practices.
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Advised a multi-national client with its response to a Department of Justice (DOJ) grand jury investigation, which revealed that the client may have been the victim of a fraud perpetrated by certain employees and outside vendors. The engagement has included the conduct of an internal investigation, assisted by the client's internal audit capability and an outside forensic accounting firm, and the provision of advice in regard to Sarbanes-Oxley disclosure requirements.
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Favorably settled a private securities litigation and Securities and Exchange Commission (SEC) enforcement action on behalf of the former CEO of a publicly traded medical services company in connection with allegations of financial fraud.
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Conducted internal investigation for health care company in connection with claims that personnel disclosed material non-public information.
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Conducted internal investigation for trust company concerning the Board’s management of a potential securities law violation.
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Defend Keystone Trading Partners, a market making firm, and its principal, Timothy D. Lobach, in connection with Philadelphia Stock Exchange investigation, conducted by FINRA, as well as SEC investigation, into Regulation SHO compliance and related issues.
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