Securities Fraud

Currently representing targets and witnesses in various securities fraud investigations and trials.

  • Representing targets and witnesses in various securities fraud investigations directed by SEC and U.S. Attorneys' Offices in San Francisco, Los Angeles, and Washington D.C.
  • Tried complex criminal securities fraud cases to jury verdicts in U.S. District Court for the Northern District of California.
  • Resolved federal criminal and SEC cases alleging revenue recognition fraud against former vice president of international sales of a publicly traded company.
  • Resolved federal criminal insider-trading cases against high-tech engineer and attorney, including successful motions for downward departure at sentencing and probation in both cases.
  • Defended former CFO in SEC investigation of revenue recognition and accounting fraud. No enforcement proceedings were filed.
  • Represented controller of publicly traded company in parallel civil actions and SEC/DOJ investigations arising from securities fraud actions stemming from merger of pharmaceutical companies.
  • Represented general counsel of public company in SEC investigation of possible SOX "reporting up" violation.
  • Represented current and former officers and directors in state and federal derivative and shareholder litigation arising from alleged options backdating.
  • Represented former outside director in state and federal cases brought by company special litigation committee against former management, board members, and others in connection with allegations of backdated stock options.
  • Represented special committee of public national bank in investigation of bank's compliance with anti-money laundering statutes and related regulations.
  • Representing CFO in DOJ prosecution and parallel SEC case relating to alleged backdating of stock option exercises and related tax evasion counts.
  • Defending the founder and former CEO of public software company in connection with an SEC enforcement case pending in the Northern District of California (San Jose) alleging revenue recognition violations.

Firm Highlights

News

Section 230's Broad Liability Shield Seen as Living on Borrowed Time

Erik Olson spoke to Communications Litigation Today for the article, "Section 230's Broad Liability Shield Seen as Living on Borrowed Time," discussing the implications of the coming SCOTUS decision in Gonzalez .  In the...

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Publication

One Pending Supreme Court Case Could Change the Internet as We Know It: Gonzalez v. Google and Tech Platforms’ Liability

The Supreme Court granted certiorari in Gonzalez v. Google , a high-stakes case appealed from the Ninth Circuit about the scope of protection Section 230 of the Communications Decency Act affords technology companies against...

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News

William Keane Elected Regent of the American College of Trial Lawyers

William P. Keane headshot
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News

Lawyers on the Fast Track: Aviva Gilbert and Janice Reicher

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News

Farella Braun + Martel Earns 2023 U.S. News – Best Lawyers® "Best Law Firms" Rankings

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News

50 Farella Lawyers in 2023 The Best Lawyers in America® and the Best Lawyers: Ones to Watch in America™; 4 Lawyer of the Year Awards

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News

Farella Receives American Antitrust Institute 2022 Antitrust Enforcement Award

Northern California legal powerhouse Farella Braun + Martel is proud to announce that it has received a 2022 Antitrust Enforcement Award for “Outstanding Antitrust Litigation Achievement in Private Law Practice” from the American Antitrust...

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News

Kelly Matayoshi Receives 2022 Barristers Diversity Award

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News

Karen Kimmey Named Fellow of Litigation Counsel of America

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Publication

Litigation Trends In the Private Equity and Venture Capital Space

In today's Upside episode, we explore fiduciary duty in the venture capital context. Can owners of a venture capital management company act in ways that explicitly disadvantage their business partners? Can they agree to...

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