Jim's practice concentrates on securities litigation, white-collar criminal defense, and the representation of clients in investigations by the Securities and Exchange Commission (SEC).
Jim has extensive experience handling securities litigation, business crimes investigations, and civil and criminal trials, and has unique experience in representing clients in parallel SEC and criminal investigations. He is one of the few attorneys nationwide who has worked both for the SEC and as a federal prosecutor. From 1989 to 1991, he was in charge of the SEC's Regional Office located in Los Angeles; and, prior to that, was an attorney with the SEC's Regional Office in Chicago. He also was a federal prosecutor in the Special Prosecutions Division of the United States Attorney's Office in Chicago, and in the Major Frauds Division of the United States Attorney's Office in Los Angeles.
As a prosecutor, Jim was involved in more than 40 federal criminal trials, including trials involving stock market manipulation, insider trading, RICO offenses, and bribery of public officials.
In addition to criminal cases, Jim has tried civil securities actions, SEC injunctive actions and administrative proceedings. He has also represented brokerage firms and individuals in securities arbitrations, and in disciplinary proceedings before the National Association of Securities Dealers and the New York Stock Exchange. As a regular part of his practice, Jim represents clients in a wide variety of civil and criminal cases, and in investigations conducted by the SEC, the U.S. Attorney's Office and other governmental entities.
Jim has garnered a number of professional accolades. He is a Fellow in the American College of Trial Lawyers, and has been selected for inclusion in Best Lawyers in America, in the "business crimes" sections of Who's Who Legal: California, in the International Who's Who of Business Lawyers, and in Southern California Super Lawyers.