Current defense of CFO of Fortune 500 company in parallel SEC and DOJ financial fraud investigations

Current defense of public company CEO in SEC insider trading investigation

Defense of CFO of leading Silicon Valley software provider in parallel SEC and DOJ financial reporting investigations resulting in no DOJ action and SEC non-fraud settlement

Defense of investment adviser in SEC investigation related to crypto assets management resulting in non-fraud SEC settlement

Defense of former senior executive of public cybersecurity company in SEC insider trading investigation resulting in no action

Defense of CEO of investment adviser in SEC investigation related to use of artificial intelligence in trading activity resulting in fraud-based SEC settlement with no DOJ referral

Pool counsel for employees of private Silicon Valley technology company in parallel SEC and DOJ financial reporting investigations resulting in no government action against clients

Defense of Controller of Fortune 500 Silicon Valley company in SEC financial reporting investigation and subsequent litigation resulting in dismissal of fraud-based charges and settlement

Defense of Director of public company and spouse in SEC insider trading investigation resulting in no action

Pool counsel for employees in DOJ and DOC export control investigation of leading Silicon Valley manufacturer resulting in no action by the government

Defense of co-founder and senior executive of public fintech company in parallel SEC and DOJ investigations resulting in no government action

Counsel for CEO and two senior executives of Fortune 20 company in Special Litigation Committee investigation resulting in no action by Board of Directors

Counsel for Deputy General Counsel of global cloud-computing company in internal software licensing investigation resulting in no action by Board of Directors or government

Defense of former General Counsel of leading, public securities firm in broad SEC investigation involving financial reporting fraud, resulting in no action by the SEC staff

Defense of CEO and of General Counsel of leading Silicon Valley software company in internal investigation involving financial reporting fraud

Defense of hedge fund manager in parallel DOJ and SEC insider trading investigations, resulting in no action

Pool counsel for employees in internal and SEC investigations of leading Silicon Valley technology company involving financial reporting fraud

Counsel to former CEO’s spouse in SEC executive compensation investigation, resulting in no action

Defense of employee of UK-based investment adviser, resulting in no action

Recent DOJ matters include: representation of individuals in DOJ investigations involving insider trading, mortgage fraud, antitrust violations, offering fraud, ERISA fraud, embezzlement, and money laundering

Recent FINRA matters include: representation of individuals in insider trading investigations; representation of accountant in offering fraud investigation

Defense of Fortune 500 manufacturing company and current and former CEOs, Chairmen, officers, and directors in wide-ranging SEC insider trading and Regulation FD investigation involving hedge fund, resulting in no action

Counsel for Fortune 100 automobile manufacturer in internal investigation concerning tax reporting issues, resulting in no action

Defense of leading nutritional supplement manufacturer in parallel DOJ and SEC investigations of alleged FCPA violations in more than 20 foreign jurisdictions

Counsel for chairman and CEO of Silicon Valley financial services company in SEC and DOJ bank fraud investigation

Counsel for Fortune 500 and smaller issuers, audit committees, board members, chief executive officers, and other executives in connection with more than a dozen parallel DOJ and SEC options timing investigations