Litigation/Dispute Resolution

·  Business Fraud

·  Securities fraud

·  Broker-dealer litigation

·  Federal or state regulatory litigation

·  Class action litigation

·  Shareholder derivative litigation

·  Qui tam and False Claims Act litigation

·  Commercial litigation

·  E-discovery

·  Arbitration before AAA, FINRA, NYSE, or other arbitration body

·  Enforcing arbitration awards



·  Conduct investigations to evaluate potential significant issues (e.g., issues raised internally by employees, compliance staff, whistleblowers, senior management, or the Board)

·  Defense of investigations conducted by government regulators, enforcement agencies, and criminal authorities, including parallel and cross-border investigations by multiple agencies and governments

·  Response to investigations conducted by DoJ Fraud Division, US Attorney’s Offices, or OIGs into potential False Claims Act or FAR violations

·  Response to investigations conducted by FINRA, NYSE, or other Self-Regulatory Organizations

·  Advice on addressing the results of investigations and potential reporting obligations


SEC Enforcement Defense

·  Represent companies and individuals in SEC enforcement investigations examining potential violations of the federal securities laws

·  Defense of auditors and audit partners

·  Defense of broker-dealers and financial representatives

·  Defense of investment companies and investment advisers

·  Investigate facts and circumstances underlying the SEC’s inquiry

·  Review documents and data relevant to the investigation

·  Prepare for and defend testimony

·  Draft and file Wells submissions with the SEC

·  Meet with SEC staff and seek termination of investigation or negotiate reasonable settlement

·  Litigate issues that cannot be settled


Regulatory Advice

·  Provide guidance and advice on specific regulatory risks to be addressed by a compliance program

·  FCPA and Anti-corruption

·  Privacy and data protection

·  Cybersecurity and data breaches

·  Global trade/export controls

·  Anti-money laundering and sanctions

·  Antitrust and competition


Compliance Program Review

·  Board training on compliance oversight

·  Assess compliance infrastructure to ensure all elements of an effective compliance program are in place

·  Evaluate and draft, as needed, corporate Code of Conduct, policies, and procedures

·  Review status of compliance oversight in the corporation

·  Review compliance education and training

·  Assess whether compliance program is audited and monitored

·  Review whether potential violations are reported and investigated

·  Assess whether violations result in enforcement and discipline

·  Evaluate responses to compliance violations and prevention of future violations


Compliance Risk Assessment

·  Identification of compliance risks

·  Analysis and evaluation of controls

·  Prioritization of controls for levels of risk exposure

·  Risk mitigation planning

·  Report and communication of results of risk assessment

·  Assistance with compliance program follow-up



·  Assessment of the potential merits of an appeal

·  Draft and file appellate briefs

·  Oral argument on appeal