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

Litigators Strategically Deploy Remote Depositions

Karen Kimmey was quoted in Law.com's The Barometer newsletter article "Litigators Strategically Deploy Remote Depositions." Read the full article here (subscription may be required)

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News

Sarah Good Honored Among Most Influential Women in Bay Area Business

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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

Farella Braun + Martel Attorneys Named to 2023 Northern California Super Lawyers and Rising Stars

Thirty-eight Farella Braun + Martel lawyers were named to the Super Lawyers and Rising Stars lists of top attorneys in Northern California for 2023. 2023 Farella Northern California Super Lawyers: Carly Alameda – Business...

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Publication

Compelling Employees to Arbitration Suddenly Has Less of an Upside

On July 17, the California Supreme Court issued its much-anticipated decision in Adolph v. Uber Techs Inc., as to whether employees still have standing to sue for "non-individual" PAGA claims when they have been...

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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

Top 5 Privacy Cases To Watch, From Chatbots to Geolocation

Litigation — and threats of litigation — related to privacy law violations have been on the rise recently. While some judges have pushed back on the theories set forth by plaintiffs, new privacy lawsuits...

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News

Farella Braun + Martel Earns 2024 Best Law Firms® Rankings

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News

Farella Lawyers Recognized in The Best Lawyers in America® 2024 Edition

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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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