Matters

Compliance Audits and Internal Investigations

  • Conducted a full audit of an investment adviser and revised compliance manuals, customer agreements and public disclosures
  • Conducted an internal investigation of a broker-dealer and reported findings to senior management and ownership
  • Conducted internal investigation of a public company related to public corruption
  • Managed the negotiation and implementation of a Corporate Integrity Agreement

Accounting and SEC Related Matters

  • Counseled the CFO of a publicly traded corporation in an earnings management investigation
  • Advised a former principal of a major accounting firm being investigated by PCAOB
  • Represented a securities broker in SEC and FINRA regulatory investigations and litigation
  • Counseled a marketing vice president at a publicly traded company under SEC investigation
  • Advised officers and directors of publicly traded companies in an SEC accounting investigation
  • Represented a publicly traded company in SEC No-Action request involving foreign accounting practices

Health Care Related Matters

  • Represented a community hospital under investigation for fraudulent Medicare billing
  • Advised a surgical instrument manufacturing executive in an FDA and Customs fraud indictment
  • Counseled the owner of an Internet pharmacy in a federal grand jury investigation, resulting in declination of prosecution