- 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.
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