Litigation and Enforcement

My practice has involved defense-side representations in securities litigation (Exchange Act Section 10(b) and Securities Act Sections 11 and 12), common law fraud, market manipulation, bankruptcy, and antitrust matters. I have extensive experience with all phases of litigation, including motions to dismiss, fact and expert discovery, class certification, dispositive briefing, trial, and appeals. I have supervised expert work on loss causation, event-study methodology, and damages, deposed fact and expert witnesses, and obtained Daubert exclusions of numerous opposing experts.

I have represented foreign and U.S. banks, hedge funds, and other institutional clients in government enforcement investigations and proceedings, including before the U.S. Department of Justice, the U.S. Securities and Exchange Commission, the U.S. Treasury Department, and several other government agencies. I have handled investigations involving complex financial valuation, trading, whistleblower allegations of fraud, and registration issues. I have advised on developments in administrative law affecting SEC enforcement authority.

One of my most memorable professional achievements was taking a leading role on a team that secured a post-trial judgment of acquittal and release from prison for an innocent man convicted by a jury of crimes that carried a potential life sentence. I cross-examined a key witness at his trial, argued jury instructions, and took the lead on drafting post-trial briefing. The judge who presided over the trial granted our motion for a judgment of acquittal, resulting in our client’s immediate release from federal prison, where he had been held for nearly two years. I also took a leading role in the appeal brought by federal prosecutors seeking to reinstate the jury’s guilty verdict. We prevailed on all charges.

Prior results do not guarantee a similar outcome.