Securities, Shareholder, and Broker Dealer

• Representing a publicly-traded life science company, its directors, and officers in responding to books and records demands and in defending against multi-district shareholder litigations and securities class actions involving allegations of breach of fiduciary duties and violations of federal securities laws.
• Obtaining favorable resolution of numerous FINRA customer and industry arbitration claims and expungement proceedings on behalf of several securities broker-dealers, underwriters and associated persons involving claims of fraud, unsuitable securities sales, lack of supervision and violations of MSRB municipal bond rules.
• Representing clients in shareholder proxy contests and offensive books and records demand litigation based on alleged breaches of fiduciary duties by existing directors.
• Representing investment advisory firm in AAA arbitration and related proceedings alleging violations of state securities laws and deceptive trade practices acts, breach of contract, and breach of fiduciary duty.
• Representing former CEO in an enforcement action brought by the Securities and Exchange Commission alleging securities fraud related to executive compensation disclosures.
• Representing the chairman of an international corporation in actions for purported breach of contract, fraud, racketeering, and other alleged misconduct brought by several investment funds concerning a €600 million payment in kind loan that later was securitized and sold to investors.

False Claims & Government Contracts

• Representing a telecommunications company in state False Claims Act qui tam action related to regulation of fees on business telephone services.
• Representing a national health insurance company in multiple litigation proceedings alleging violations of statute authorizing certain governmental health care providers to seek subrogation of expenses from private payors.
• Representing an insurance company in state False Claims Act qui tam action related to escheatment of life insurance proceeds deemed abandoned property under state law.

White-Collar Defense & Internal Investigations

• Conducting an internal investigation into potential violations of trade regulations, anti-corruption, and anti-bribery statutes by employees of the foreign subsidiary of a multinational corporation.
• Defending a corporation in federal criminal proceedings alleging false certifications of goods, and fraud on the United States in fulfillment of government contracts, resulting in agreement to plead guilty on only two counts of a more than thirty count indictment.
• Representing a pharmaceutical manufacturer in defense of antitrust actions brought by the State Attorneys General for multiple states, as well as related antitrust class actions and direct actions.

Financial Services

• Representing a foreign bank in litigation proceedings involving fraud, breach of fiduciary duty, and breach of contract arising out of the bank’s purchase of interests in trade finance loans.
• Representing an insurer in a dispute with a Fortune 100 company concerning coverage for a high-profile defamation settlement under multiple professional liability policies.
• Representing an insurer in a dispute with a Fortune 100 company concerning coverage for a significant settlement of an antitrust lawsuit under an employment practices liability policy.