Securities Enforcement & Litigation


Client Settlement

Principal representative of a major investment bank and Fortune 20 company in an industry-wide group that obtained precedent-setting relief from the SEC that effectively permitted settlement of significant litigation with the SEC and state attorneys general affecting more than $60 billion in securities, Auction Rate Securities -- Global Exemptive Relief.

Securities Counsel

Devised successful defense strategy for Fortune 100 client in the energy services business in a widely reported SEC investigation. Managed client team in responding from discovery through a substantial internal investigation and multiple Wells submissions.

In re: Structural Dynamics Research Corporation Derivative Action

Served as lead counsel in defending Structural Dynamics Research Corporation, a publicly-traded software development company, in a class-action shareholder lawsuit following allegations of fraud and artificially inflated earnings. The shareholder suit was filed following a restatement of earnings over a three-year period and a Securities and Exchange Commission financial fraud action and accompanying fines against five former senior officers of SDRC. The class-action shareholder suit was settled prior to trial.