Regulatory and Investigations

• Representing several financial advisory firms in responding to SPAC-related SEC subpoenas
• Representing several underwriters in responding to IPO-related SEC subpoenas
• Representing officers and directors in SEC investigation concerning reporting in transactions and holdings in company stock
• Representing several public companies in FINRA trading inquiries surrounding corporate disclosures
• Represented a global financial institution in internal investigation concerning research analyst independence
• Represented numerous global financial institutions and public companies in FINRA, SEC, NYAG and other regulatory investigations concerning structured credit products, automated market making, insider trading, conflicts of interest, broker sales practices, and other compliance issues 
• Represented a global financial institution in several internal investigations concerning potential conflicts of interest at a LatAm affiliate
• Represented a global financial institution in internal investigation concerning Anti- Bribery and Corruption Compliance at a LatAm affiliate
• Represented a hedge fund in SEC investigation concerning potential insider trading
• Represented a cannabis company in SEC investigation concerning potential insider trading 
• Represented 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
• Represented a large financial institution in internal investigation following the discovery of significant trading losses at the Chief Investment Office*
• Represented 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*
• Represented a large financial institution in an SEC investigation concerning customer redemptions from a securities lending program*
• Represented several broker-dealers in SEC and FINRA investigations concerning sales practices, reporting obligations and soft dollar programs*

Litigation

• Representing a public company in responding to a third-party subpoena in connection with an M&A transaction in Delaware Chancery Court
• Representing a financial advisory firm in responding to several third-party subpoenas in SPAC-related actions in federal and state court
• Represented two financial advisory firms in SPAC pre-closing suit
• Represented a financial advisory firm in responding to a third-party subpoena in a high-profile SPAC litigation in Delaware Chancery Court
• Represented a major financial institution in FINRA arbitration and state court litigation brought by former LatAm Private Banking client alleging fraud, churning and other trading violations.  Successfully compelled state court claims to FINRA arbitral forum.
• Represented two defendant prime brokers in industry-wide litigation filed in state and federal courts alleging manipulative short-sale practices*
• Represented a large financial institution in class-action litigation filed in federal court regarding collective investment trust fees*

*Denotes prior firm experience