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.
