Financial Services Firms, Broker-Dealers and Banks

Experience Highlights

• Global investment bank in multiple SEC investigations involving the valuation of positions in financial instruments related to marketplace lending platforms and disclosures to investors in asset-backed securities deals.

• ​​​​​Global financial services firm in class actions, shareholder derivative litigation, and arbitrations involving various securities, lending, and trading issues.

• ​​​​​Broker-dealer in SEC, FINRA and internal investigations involving a research analyst's trading; SEC, FINRA, state securities, and internal investigations involving the provision of gifts, gratuities and entertainment to customers; and SEC, DOJ and NYAG investigations involving a public company and analyst research reports.

• ​​​​​Private national bank in multiple governmental investigations as well as state securities litigation involving various bank regulatory, securities offering, money laundering, and related issues.

• ​​​​​​Public bank holding company in a securities class action in the Western District of North Carolina involving disclosures in a proxy statement relating to a merger with another bank.

• Charles Schwab in defeating class certification in a purported 10b-5 securities class action alleging Charles Schwab misled customers about its order routing and order execution.

• ​​​​​​Former chief executive officer of a financial services firm in separate SEC, Nevada State Attorney General, and DOJ investigations involving RMBS, CDOs and related issues.

• National Union Fire Insurance Company of Pittsburgh, Pa. in securing a major victory in the Delaware Supreme Court, reversing a $118.5 million judgment against National Union and several other insurers.

• Publicly traded alternative investment management company in compliance advice concerning alternative data usage and policies.