Barclays LIBOR Investigation
Representing Jerry del Missier and several other high-level Barclays officials in the worldwide LIBOR investigations and litigations. In July 2012, Barclays settled with the U.S. Department of Justice, the Commodities Futures Trading Commission, and the UK Financial Services Authority. In July 2012, del Missier’s testimony before the Treasury Select Committee of the House of Commons received prominent media coverage worldwide.
Foreign Corrupt Practices Act
Conducted internal investigations and defended government investigations for multiple Fortune 500 companies involving allegations of bribery of foreign government officials
In re UnitedHealth Group, Inc. Securities Litigation
(D. Minn.) Represented the former chair of the compensation committee of the board of directors of UnitedHealth Group Inc. in government investigations and civil actions relating to allegations of stock options backdating, resulting in avoidance of action by the government and settlements favorable to our client in the civil actions. (2008)
Anti-Money Laundering Internal Investigation
Conducted an internal investigation on behalf of the Audit Committee of the Supervisory Board of ABN AMRO Bank N.V. regarding anti-money laundering policies and practices at the bank's US dollar clearing unit.
Representing Former Mortgage Executive in DOJ and SEC Investigations
(E.D.N.Y. and parallel SEC and USAO investigations) Representing the former Chief Financial Officer of one of the largest national mortgage originators, now bankrupt, in DOJ and SEC investigations and related shareholder litigation arising from the credit crisis. (Ongoing)
SEC and DOJ Investigations
Represent the former CEO of a large national bank in SEC and DOJ investigations relating to disclosures of losses in the bank's mortgage portfolio. (Ongoing)
Accounting Fraud
Represented an auditor at a Big Four accounting firm in an SEC investigation involving allegations of securities fraud and improper professional conduct arising out of the audit of a public company at which members of top management were criminally convicted of engaging in a massive, collusive accounting fraud. After a Wells process, the SEC staff terminated the investigation without commencing an action against the client. (2008)
Multi-Faceted Investigation of University Grants
Advised major U.S. research University in criminal and civil investigation of alleged false claims relating to federal research grants and contracts. (2009)
SEC v Credit Bancorp
(S.D.N.Y.) As court-appointed receiver since 2000, successfully led an effort to identify and recover $200 million that had been lost in a Ponzi scheme. (Ongoing)
FINRA Investigation
Represented a senior executive of a large bank in an investigation by the Financial Institutions Regulatory Authority ("FINRA") into allegations of political corruption. Following written submission, no charges were brought. (2008)
Cross-Border Banking Investigation
Represented multiple employees of a multinational bank in investigations by the U.S. Attorney’s Office, state criminal prosecutors, SEC, CFTC, U.S. banking regulators and foreign regulators regarding an alleged scheme to overvalue a commodities derivative trading portfolio. Following multiple interviews with law enforcement and regulatory agencies, no charges were brought against clients. (2008)
Interpool Audit Committee
Represented the Audit Committee of Interpool, Inc., a NYSE-listed company and one of the world's leading lessors of shipping containers and chassis, in an internal investigation arising from an accounting restatement. (2003)