Banking & Securities

Our banking & securities experience includes:

  • Represented a global bank in connection with regulatory inquiries and investigations by the Securities and Exchange Commission (SEC), the New York State Attorney General's Office, the Financial Services Authority (United Kingdom) and the Commission de Surveillance du Secteur Financier (Luxembourg), relating to the Bernard Madoff scandal.
  • Defended a CEO charged with insider trading
  • Protected an international banker in a successful due process, name-clearing proceeding
  • Defended commodities/foreign exchange dealer in multimillion-dollar federal fraud, tax evasion and forfeiture proceedings 
  • Represented an investment advisor in an SEC insider trading enforcement action
  • Defeated $8 million disgorgement order for commodities broker
  • Represented a company in appeal of conviction for bank fraud and subsequent resentencing following en banc consideration by Third Circuit
  • Represented the former CEO of a public company charged with securities/insider trading/tax fraud in a nine-month federal court jury trial
  • Represented several current and former Enron employees in high-profile securities and fraud investigations
  • Represented a former president of a community bank in a TARP fraud indictment
  • Represented a former chief lending officer in a grand jury investigation and debarment proceedings
  • Represented a pharmaceutical manufacturer in an SEC investigation of its reported earnings, alleged accounting irregularities and insider trading. Conducted a comprehensive investigation and recommended specific corrective action, including the replacement of certain employees.
  • Represented the CFO of a publicly traded company in an options back-dating and earnings management investigation
  • Represented an international financial institution in a U.S. government investigation into the bank’s historic processing of transactions that may violate U.S. sanctions laws
  • Represented a regional bank in connection with a U.S. government investigation related to anti-money laundering compliance