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

Publication

Wire Fraud Victims Have New Reporting Factors After Ciminelli

Originally published by  Bloomberg Law . Courts around the country have seen an influx of challenges to indictments and convictions since the US Supreme Court’s unanimous decision in  Ciminelli v. United States  last May...

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Publication

What Nonprofit Board Leadership Needs To Know About Internal Investigations

Welcome to  EO Radio Show – Your Nonprofit Legal Resource. I'm Cynthia Rowland, and today we'll cover an important governance topic for all nonprofit organizations. That is, what leadership needs to know about internal...

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Publication

Reporting Dispute Claims Within Closely Held Wineries

Many wineries operate as closely held companies, meaning they’re owned by an individual or small group of shareholders, who are often members of the same family. Disputes regarding ownership interests can arise, particularly when directors...

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News

Scraping Battles: Meta Loses Legal Effort to Halt Harvesting of Personal Profiles

Alex Reese spoke to Matt Fleischer-Black of  Cybersecurity Law Report about the Meta v. Bright Data decision and its impact on U.S. scraping case law. Read the article here (paywall or trial).

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Publication

Disputes Between Shareholders May Not Be Governed by Fiduciary Duties but Could Be Covered by Insurance

(As published in Private Company Director ) Disputes regarding ownership interests often arise in the context of closely held corporations, particularly when directors, officers, or majority shareholders sell or acquire ownership interests in the...

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Publication

Ensuring Your Website Complies With the ADA

In today’s digital age, having an online presence is crucial for businesses, including wineries, breweries, and other beverage companies. Accordingly, it’s essential to ensure that your beverage website meets federal standards for accessibility to avoid...

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Publication

A Summary of New Laws Coming for California Employers in 2024

In 2023, California has adopted several new employment laws either introducing new employee protections or codifying existing practices into state law. With these changes, employers will need to examine and adjust some of their...

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News

Chambers USA 2024 Recognizes Farella Braun + Martel Lawyers, Practices

Farella Braun + Martel is pleased to announce that Chambers USA has recognized 16 lawyers and six practice areas in the legal directory’s 2024 edition. Individual California and Western U.S. Rankings: Sarah Bell &ndash...

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News

The Fight Over Building New Housing in San Mateo Co., Least Compliant in Bay Area To State Mandates

Tom Mayhew spoke to ABC  News  about the lawsuit filed by Housing Action Coalition (HAC) and Farella against the City of San Mateo. The lawsuit challenges the city's recently adopted Housing Element in order to...

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Publication

Major Decision Affects Law of Scraping and Online Data Collection, Meta Platforms v. Bright Data

On January 23, 2024, the court in Meta Platforms Inc. v. Bright Data Ltd. , Case No. 3:23-cv-00077-EMC (N.D. Cal.), issued a summary judgment ruling with potentially wide-ranging ramifications for the law of scraping and...

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