Background - Practices (Details)

Regulatory and Enforcement

Contacts

Representative Matters

  • Representing senior executives, officers, and employees of global banks in a variety of criminal and regulatory enforcement matters involving many varied investigations (as described above).
  • Performing internal investigations relating to allegations of accounting fraud at an international subsidiary of a Fortune 500 company.
  • Successfully representing an Asian bank in DOJ’s “1MDB” investigation of alleged embezzlement and money laundering of $4 billion from the state investment fund of Malaysia, resulting in no prosecution or other action taken.
  • Representing the former head of FX trading at a well-respected bank in connection with a federal criminal indictment in the Eastern District of New York.
  • Representing a global financial institution in responding to grand jury investigation related to certain accounts as part of the highly publicized “Panama Papers” cases.
  • Advising a broker-dealer in responding to an investigation by OFAC relating to transactions in Iran, Syria, Cuba, and North Korea.
  • Representing an industry-leading digital assets company in DOJ criminal money laundering and BSA investigations, resulting in no action taken against the financial institution or its officers.
  • Representing the chief BSA/AML officer of a leading U.S. regional bank in a DOJ criminal BSA investigation, resulting in no action taken against that officer despite substantial penalties imposed against the institution.
  • Advising a money transmitter and payments company in response to an SEC subpoena relating to its acceptance of a leading virtual currency.
  • Representing executives and compliance officers at an international financial institution in a DOJ investigation regarding the adequacy of an international bank’s AML controls and potential BSA violations.
  • Representing the managing director at a global investment bank in connection with a DOJ/SEC FCPA investigation in a high-profile “Sons and Daughters” Investigation.
  • Counseling an investment advisor firm and its CEO in connection to a SEC enforcement investigation regarding disclosure to fund investors.
  • Representing a prominent broker-dealer as lead counsel in FINRA enforcement investigation.
  • Counseling a registered investment adviser in connection with an SEC examination and industry-wide SEC investigation of Collateralized Debt Obligations.
  • Representing the former COO and founder of an online small business lender in connection with an investigation of alleged investment fraud involving the U.S. Attorney’s Office for the Central District of California and the SEC.
  • Advising a senior officer of a publicly traded corporation in a securities fraud investigation by the DOJ and the SEC.
  • Representing two strategic financial analysts in connection with accounting fraud investigation in the SDNY and SEC and a related civil class action lawsuit.
  • Representing numerous clients in cartel investigations and related class action lawsuits regarding alleged price-fixing, and bid-rigging in the global resistors market.