Criminal and Government Investigations

Represented employees and agents of entities involved in oil and gas drilling in Trinidad in connection with grand-jury investigation in Southern District of New York relating to alleged misstatements to investors.

Represented employee of proxy solicitor relating to grand-jury and SEC investigations relating to alleged disclosure of confidential information about shareholders’ votes.

Represented group of manufacturers and distributors of tampico fiber located in Mexico and Holland in grand jury investigation conducted by Antitrust Division of the Department of Justice in Philadelphia. Negotiated corporate plea and fine and avoided charges against any individuals.

Represented lawyer in solo corporate practice in investigation by U.S. Attorney in New Jersey into securities fraud by attorney's client.

Represented executive of small company in investigation by U.S. Attorney in Manhattan of penny-stock promoters.

Represented chairman and chief executive officer of public company in enforcement action brought by SEC relating to insider trading. The case was settled after the court denied cross motions for summary judgment.

Represented participant in parallel grand jury and SEC investigations of soft-dollar insider-trading scheme involving corporate executive and mutual fund advisor.

Represented position trader at major broker-dealer in SEC investigation of proprietary trading activities. No charges were brought against trader.

Represented trader in connection with SEC investigation of front-running.