Securities and Shareholder Matters

• Won dismissal of securities fraud claims alleging failure to disclose scheme to avoid import duties and faulty internal controls against CFO of publicly traded company. Rahman v. Kid Brands, 736 F.3d 237 (3d Cir. 2013).
• Defeated SEC’s 10b-5 claim after three-week insider trading jury trial.  Liability on lesser charge limited to disgorgement of profits after SEC sought penalty and officer/director bar. SEC v. Jacobs, No. 1:13:cv-01289-SO (N.D. Ohio December 3, 2014).
• Conducted an internal investigation on behalf of special committee of the board of a bank holding company into derivative shareholder’s allegations concerning bank’s exposure to subprime loan portfolio.  Result of investigation was dismissal of shareholder’s claims.  See Caston v. Hoaglin, No. 2:08-cv—200 (S.D. Ohio September 23, 2009).
• Represented the audit committee of a Fortune 100 manufacturer in conducting internal investigation of accounting practices and negotiating no-penalty resolution with the SEC.
• Represented special committee of the board of an insurance company in internal and SEC investigations of stock option backdating allegations.  See SEC Litigation Release No. 20836 (December 22, 2008).
• Represented hedge fund accused by SEC of market manipulation in the trading of shares of issuers involved in merger negotiations.  SEC Administrative Proceeding Release No. 34-60351 (July 21, 2009).
• Prevailed in motions to dismiss securities fraud and derivative claims against CEO of software company based on allegations of backdated stock options and other accounting irregularities.
• Represented individuals, including public company officers, in insider trading investigations, none of whom were charged.

Bribery and Corruption Allegations

• Conducted post-acquisition due diligence for major multinational telecommunications company’s purchase of satellite communications provider with extensive presence in Africa and Asia.
• Represented audit committee of large multinational company in investigation of allegations of improper payments in Eastern Europe.
• Represented energy supply company in internal investigation of whistleblower complaint concerning alleged favors to Chinese customs officials.
• Represented special committee of independent directors of public telecommunications company in investigation of allegations of improper vendor payments and accounting irregularities.
• Conducted anti-corruption training seminars and developed internal policies for several publicly traded companies.

Antitrust

• Negotiated antitrust immunity for an official of a Japanese auto parts company in a DOJ price-fixing investigation.
• Represented a manufacturer in grand jury investigation of pricing of extruded rubber thread. No charges brought.
• Represented employees of chemical company in criminal investigation of alleged cartel activity. No clients charged.

Congressional Investigations

• Represented an Obama administration official in investigation by U.S. House Committee on Oversight & Government Reform into Department of Energy Loan Guaranty Program.
• Represented pharmaceutical company in investigation by congressional committee of NIH grant-making practices.
• Represented consulting firm investigation of alleged “science-for-sale” in industry-funded studies on health effects of certain drugs and chemicals.

Contract and Business Tort Litigation

• Prevailed in defense of a solar energy company in arbitrated claims alleging entitlement to commissions for commercial solar projects.
• Obtained $5.2 million verdict on behalf of software licensor after a three-week jury trial on claims of unpaid license fees.
• In two cases representing plaintiffs alleging misappropriation of trade secrets and breaches of confidentiality agreements, obtained settlements after the start of trial in which defendants agreed to cease certain business operations.
• Represented a real estate development company in multi-party litigation alleging that sale of a company that owned land on which developer had development rights constituted breach of contractual provisions providing for right of first offer.
• Represented a public utility in action to void a deed restriction that limited the density of development on parcel of land that utility sought to sell to a developer of offices and condominiums.