Representative Matters

Regulatory Cases

• Defended multiple corporate executives in connection with SEC investigations involving alleged fraudulent securities filings.
• Represented multiple bank officers and executives in connection with SEC investigation of allegedly fraudulent practices at Enron Corporation.
• Defended accountant in SEC and IRS investigation into allegedly fraudulent sale of tax-shelters.
• Defended individual sued by SEC for insider trading. 
• Defended corporate accounting executive in SEC investigation involving alleged overstatement of reserves and revenues.
• Defended terminated Chief Compliance Officer of broker-dealer in FINRA arbitration alleging breach of fiduciary duty.