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

Douglas Young Receives 2021 Judge Learned Hand Award From AJC San Francisco

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Publication

New Year, New CMS Price Transparency Rule For Hospitals

Transparency in health care pricing can help patients make informed decisions, increase competition, and drive down the cost of health care. Accordingly, the Centers for Medicare and Medicaid Services (CMS) has promulgated a new...

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Publication

Complying With the TCPA After the Facebook Supreme Court Decision

Many cannabis dispensaries rely heavily on text messaging marketing programs to reach their customers and to create loyalty in an increasingly competitive market. While text messaging programs may be an effective marketing tool, they...

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Publication

Landlord-Tenant Dispute Resolution

Farella's Real Estate Webinar Series features Tony Schoenberg discussing "Landlord-Tenant Disputes and Challenges." The laws governing landlord-tenant relationships are complicated. Understanding your rights and legal obligations will help you protect yourself, your rental business, and...

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Publication

Pandemic Restriction Challenges Face Uphill Battle in California

On Dec.16, 2020, in Midway Venture LLC v. County of San Diego, the San Diego Superior Court preliminarily enjoined enforcement of two COVID-19-related California public health restrictions as applied to two adult entertainment businesses...

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News

Farella Names Rebecca Stephens and Nadia Arid As LCLD 2021 Pathfinders

Farella Braun + Martel is proud to announce that senior associate Rebecca Stephens and associate Nadia Arid were selected to be members of the 2021 class of Leadership Council on Legal Diversity (LCLD) Pathfinders...

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News

Nadia Arid Honored With Legal Services for Children Pro Bono Leadership Award

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News

Kelly Matayoshi Joins UC Hastings Law Center for Litigation and Courts Advisory Board

Farella Braun + Martel is proud to announce that partner Kelly Matayoshi has joined the five-member advisory board for the UC Hastings Law Center for Litigation and Courts .  The nonpartisan Center for Litigation...

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News

Chambers USA 2021 Recognizes Farella Braun + Martel Attorneys, Practices

Farella Braun + Martel announces that Chambers USA has recognized 13 lawyers and 6 practice areas in the legal directory’s 2021 edition. Individual Rankings: Tyler Gerking – Insurance: Policyholders Jeffrey Hamilton – Cannabis Law...

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Publication

How to Comply With the TCPA After the Facebook Supreme Court Decision

Many consumer products industry companies rely heavily on text messaging marketing programs to reach their customers and to create loyalty in an increasingly competitive market. While text messaging programs may be an effective marketing tool...

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