Investment Management

Representative matters include:

• Represented an independent credit ratings agency and its CEO in an SEC administrative proceeding, filed a successful federal court action challenging the SEC’s forum selection, and ultimately resolved both matters on favorable terms for the clients.
• Persuaded the SEC to reverse its decision to pursue insider trading charges against a CEO and his wife after they received Wells notices, resulting in no enforcement action being filed.
• Represented investment advisers and fund complexes in market timing investigations, as well as hedge funds and associated individuals in investigations involving alleged trading on material nonpublic information.
• Obtained a substantially reduced sentence for a registered representative involved in a stock manipulation (“pump and dump”) scheme associated with Stratton Oakmont.
• Successfully represented a Chinese financial institution in a dispute with JPMorgan involving the valuation of foreign currency swap transactions governed by the ISDA Master Agreement.