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SEC, State Securities and FINRA Investigation Representative Matters

Defended analyst at the request of a large international bank in connection with the discharge of said bank as an underwriter from a Public Officering in 2010 before the SEC, USAO SDNY and TARP. Matter received substantial national press.

Defended nation's second largest sub-prime lender in action and investigation by Connecticut Department of Banking. Proposed penalties were in excess of $80 million and revocation of license. Matter received substantial local and national press coverage.

Represented lenders in connection with investigation by SEC and U.S. Attorney in connection with mutual bank conversions. (SEC) Represented lenders in connection with an investigation by the SEC and U.S. Attorney pertaining to mutual bank conversions. The attorneys defeated the government's claims and defended against the SEC investigations by successfully objecting to and quashing numerous SEC subpoenas.

Defended international broker of credit derivative swaps in connection with SEC investigation into CDS. Representation discussed in lead article of Wall Street Journal.

Defended SEC investigations including response to numerous SEC subpoenas. Successfully defeated claims by government.

Defend FINRA investigation into purported “structuring.”

Represented leading broker of credit derivative swaps in connection with FINRA investigation into purported collusive action in the setting of pricing by CDS brokerage industry. Representation received substantial press.

Defended SEC investigation into $100 million private placement issues related to real estate and metals purchases in Houston, Texas. Defended OTRs and charges.

Defended broker dealer in connection with investigation into SPAC warrant trading and sales.

Represented a broker dealer and registered representative in connection with a national investigation on the issuance of trading of SPACs.

Regularly represent and counsel broker-dealers and their officers, directors and employees in connection with SEC and FINRA investigations, including successfully defending clients against disciplinary charges and negotiating favorable settlement terms for clients in SEC stipulations and FINRA AWCs ("Acceptance, Waiver and Consent").

Represented an investment banker in an SEC investigation into possible market manipulation and securities fraud, successfully avoiding formal charges against the banker.

Succeeded in persuading NYSE and FINRA to reduce a high-five figure fine down to $10,000 in a NYSE stipulated settlement involving multi-year FINRA examination findings for the client.

Persuaded FINRA to close with no action an investigation of a broker for alleged embezzlement.

Persuaded FINRA to close with only a cautionary letter an investigation of a broker for alleged forgery.

Represented officers and directors of a publicly traded company in SEC accounting investigation.

Counseled an individual in New York State Insurance Department inquiry as well as before other state insurance regulatory authorities.

Advised analysts in CFTC and DOJ late trading/market timing investigation.

Conducted a full audit of an investment adviser and revisions to compliance manuals, customer agreements and public disclosures.

Represented a publicly traded company in SEC No-Action request involving foreign accounting issues.

Defend individual securities brokers in FINRA investigations and disciplinary proceedings.

Represented securities brokers before numerous state securities commissions.

Counseled securities broker-dealers and brokers in New York State Attorney General and New York County District Attorney investigations and litigation.

Represented broker-dealers and securities brokers in post-employment issues, including U-5 defamation claims and corporate raiding. Conducted an internal investigation of a broker-dealer and report made to senior management and ownership.

Represent securities brokers in DOJ, SEC and FINRA regulatory investigations and litigation.

Successfully defended against dispositive motions seeking the dismissal of a complaint filed in California state court against certain former directors and former officers of a publicly traded company. The defendants in this action were represented by a prominent national firm, and are alleged to have, among other things, breached their duties owed to the company, and committed corporate waste, during their time as directors and/or officers.