Financial Services Litigation & Regulation
Strategic Discovery & Information Management
- Represented a company, which develops and markets an alternative energy source, in all aspects of their business operations in Asia.
- Represented an EB-5 regional center in an SEC investigation concerning foreign investments in a U.S. manufacturing firm.
- Assisted a biotech corporation with market access in East Asia, specifically Japan and Vietnam.
- Represented a specialty themed construction company in establishing both a corporate and manufacturing presence in East Asia to support the company’s book of business in theme park construction in the region.
- Advised a law firm interested in expanding their offices to East Asia to support and expand their clients with interests in the region.
- Assisted an accredited U.S. university looking to affiliate with a university in Vietnam.
- Advised a global financial services client regarding research policies and procedures.
- Served as Independent Examiner for a Swiss banking institution in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks.
- Represent banks, headquartered or doing business in, Italy, Spain, Switzerland and the United Kingdom.
- Represented a Canadian broker-dealer in U.S. regulatory matters.
- Served as Independent Consultant to a global financial institution to review and test its policies respecting compliance with Section 9(a) of the Investment Company Act arising out of the institution’s SEC settlement regarding its underwriting of securities.
- Served as defense counsel for a Swiss bank in connection with the Department of Justice Program for Non-Prosecution Agreements or Non-Target Letters for Swiss Banks.
- Represented a senior trader of a global bank in an SEC enforcement action alleging parking of securities.
- Represented a Canadian executive charged by the SEC in federal court with securities fraud and selling unregistered securities.
- Advised global advisory/corporate relations firm on anti-bribery policies and procedures.
- Served as defense counsel to the owner of Brazilian farming operations in connection with securities fraud action in federal court.
The global enforcement landscape has changed dramatically in the last few years. Coordination and cooperation between national regulatory authorities have increased substantially, increasing the pace, number and scope of multi-jurisdictional regulatory matters. Cross border investigations have exploded, and many new investigations and regulatory actions are truly global in scope. It is more critical than ever that companies at risk or facing such regulatory challenges engage counsel that understands, and has experience in, regulatory and enforcement investigations and prosecutions that involve multiple authorities from more than one country.