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

Benchmark Litigation Honors Farella’s Doug Young With Hall of Fame Award

Farella Braun + Martel’s Douglas R. Young was honored with Benchmark Litigation ’s Hall of Fame award at its annual awards ceremony on March 5th at the St. Regis in San Francisco. According to...

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Publication

CARES Act Paycheck Protection Program Summary (Updated)

The Coronavirus Aid, Relief, and Economic Security Act (CARES Act) Paycheck Protection Program (PPP) aims to provide qualifying small businesses, nonprofit organizations, veterans organizations, tribal businesses, sole proprietors, and independent contractors forgivable loans of...

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Publication

Litigation Management Checklist in the Time of COVID-19

We are all experiencing unprecedented challenges right now, both personally and professionally. To ease some of your legal team’s anxieties, we have put together a litigation-specific checklist with the measures we recommend taking, which...

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News

Farella Braun + Martel Attorneys, Practices Recognized by Chambers USA 2020

SAN FRANCISCO, April 23, 2020: Farella Braun + Martel announces that Chambers USA has recognized 12 lawyers and five practice areas in the legal directory’s 2020 edition. Individual Rankings: Tyler Gerking – Insurance: Policyholders...

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Publication

Facebook Suspends Apps That Scrape Data From Its Platform Following Cambridge Analytica Scandal

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Publication

Force Majeure and Contractual Non-Performance During the Coronavirus Pandemic

Never in the experience of most of us has an event so thoroughly interrupted business as usual as the coronavirus (COVID-19) pandemic. Everywhere, contract parties facing severe stress in their businesses are reassessing their contractual...

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News

Farella Braun + Martel’s Jerome Braun Honored With Bill Edlund Award for Professionalism in the Law

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Publication

Testing California’s Price Gouging Statute

Pandemic-related price spikes in consumer goods have attracted the attention of both government enforcers and private plaintiffs. In California, Attorney General Xavier Becerra has issued two admonitions against price gouging – one focused on online...

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Publication

7 Ways to Check If Coronavirus Triggers ‘Force Majeure’ Clauses in Your Wine Business Contracts

Never in the experience of most of us has an event so thoroughly interrupted business as usual as the coronavirus pandemic. The wine business runs on contracts: grape purchase agreements, event hosting contracts, vineyard...

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News

Farella Braun + Martel Announces 2020 Partner Elevations

SAN FRANCISCO/ST. HELENA, Calif., January 21, 2020: Northern California legal powerhouse Farella Braun + Martel is pleased to announce the election of senior associates Evan Abrams, Lauren Galbraith, and Alex Reese to the partnership...

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