Experience

  • Represented one of the lead trial defendants in a federal criminal prosecution and four-week jury trial in the Southern District of New York alleging fraud charges based on the alleged leak of PCAOB inspection information to KPMG.
  • Represented a class of plaintiffs seeking the return of approximately $14.9 billion from the SEC for unauthorized disgorgement collections.
  • Represented a former banker in a LIBOR-related investigation by the U.S. Department of Justice and Commodities Futures Trading Commission.
  • Represented a whistleblower in an FCA case relating to alleged fraud on the United States.
  • Represented U.S.-based independent directors of an AIM-listed entity in connection with U.K. investigations into the entity’s financial reporting.
  • Represented a former banker in a prosecution in the Southern District of New York relating to LIBOR.
  • Advised an investment fund regarding insider trading and market manipulation restrictions.
  • Represented an investment fund and an associated individual in connection with a World Bank Group Integrity Vice Presidency investigation.
  • Represented a prominent investment adviser and its principal in an appeal to the Securities and Exchange Commission relating to an enforcement action alleging fraud in connection with the creation and marketing of certain CDOs. Obtained partial reversal of administrative law judge’s findings. Continued representation on appeal from the SEC’s partial affirmance in the D.C. Circuit.
  • Represented a prominent investment adviser in a civil litigation in the Southern District of New York relating to fraud in connection with the creation and marketing of CDOs.
  • Represented the Special Claims Committee of the Financial Oversight and Management Board for Puerto Rico.
  • Represented a former banker in a LIBOR-related investigation by the US Department of Justice and Commodities Futures Trading Commission.
  • Represented chief investment officer of a hedge fund in SEC investigation relating to the adequacy of investor disclosures.
  • Represented an exotics trader of a financial institution in investigation by FINRA relating to ISDAFIX.
  • Represented a lead defendant in FIFA-related extradition proceedings and corruption prosecution in the Eastern District of New York.
  • Represented a former top executive of a bank in connection with an Eastern District of New York corruption investigation related to the creation of over a billion dollars in loans in Africa.
  • Represented lead defendants in high-profile FCPA investigation and related U.S. securities class action litigation regarding alleged corruption in Brazil.
  • Represented leading European executive in investigations and potential extradition proceedings relating to alleged bribery in Central America.
  • Represented an executive of a multinational technology company based in Brazil relating to bribery and corruption allegations.
  • Represented a major medical company in U.S. Department of Justice civil and criminal investigations.
  • Advised surgeon in dispute regarding pharmaceutical billing.
  • Advised ad hoc committee of lenders to laboratory company facing FCA and other actions related to hundreds of millions of dollars in alleged fraudulent billing.
  • Brief to the U.S. Supreme Court on behalf of an amicus curiae in Lucia v. SEC challenging the constitutionality of SEC administrative law judge appointments.
  • Brief to the U.S. Supreme Court on behalf of the Innocence Project as amicus curiae in a certiorari petition relating to coram nobis relief for actual innocence.
  • Brief to the U.S. Supreme Court on behalf of an amicus curiae in Kokesh v. SEC challenging SEC disgorgement orders.
  • Briefs to the Second Circuit on appeal of securities and tax fraud convictions from the Northern District of New York.
  • Briefs to the DC Circuit, Eleventh Circuit, and U.S. Supreme Court relating to defects in SEC administrative proceedings.
  • Brief to the Second Circuit on behalf of a prominent investment adviser and its principal in an appeal of a collateral challenge to the validity of an SEC administrative proceeding.
  • Appellate counsel for the same investment advisor and its principal in an appeal to the DC Circuit from an SEC sanctions order.
  • Trial counsel in a four-week criminal jury trial in the Southern District of New York in the KPMG-PCAOB leaks case.
  • Trial counsel in a multi-week trial in the SDNY Bankruptcy Court regarding fraudulent conveyance, preference, and other claims arising out of multi-billion dollar leveraged buyout.
  • As a prosecutor, trial counsel in ten trials, including tax fraud, bank fraud, health care fraud, accounting fraud, sanctions violations, criminal copyright violations, and gun trafficking.
  • Trial counsel in pro bono civil rights jury trial in the Southern District of New York.
  • Conducted internal investigation for an entity that suffered embezzlement by a financial officer.
  • Conducted internal investigations for a number of business entity clients in criminal and civil matters.
  • As a prosecutor, conducted more than one hundred white collar criminal investigations.
  • Represented the former chief compliance officer of a financial institution in connection with U.S. Department of Justice and Office of the Comptroller of the Currency investigations relating to Bank Secrecy Act and Anti-Money-Laundering controls.
  • Advise European bank on OFAC and NY Department of Financial Services issues.
  • Represented a manufacturer of optical devices in a federal investigation of allegations of trade secrets theft under the Economic Espionage Act and criminal copyright infringement.
  • As a prosecutor, conducted two criminal copyright jury trials, and supervised Second Circuit appeals in two key cases involving the theft of high frequency trading code.
  • Represented a leading FIFA defendant in connection with U.S.-Switzerland extradition proceedings.
  • Represented European executives in connection with potential U.S.-Spain-Guatemala extradition matters relating to alleged corruption.
  • Represented a high-profile individual in connection with U.S.-Uruguay extradition proceedings.
  • LIRR Disability Fraud (United States v. Ajemian et al.). Led the investigation and prosecution of a billion-dollar disability fraud committed by more than a thousand Long Island Railroad retirees, successfully convicting at trial and by plea doctors responsible for more than half of all LIRR disability claims, as well as dozens of other participants in the fraud.
  • Insider Trading (United States v. Rajat Gupta). Supervised the Government’s successful briefing and argument on appeal regarding the conviction of Rajat Gupta, a former Goldman Sachs board member, for an insider trading conspiracy with Raj Rajaratnam.
  • Tax Shelter Fraud (United States v. KPMG and United States v. Stein et al.). Initiated and for three years helped lead the Southern District of New York’s efforts to investigate and prosecute fraudulent tax shelters sold during the late 1990s and early 2000s by accounting firms, law firms, and banks. Those efforts resulted in dozens of convictions both at trial and by plea, several deferred prosecutions or non-prosecution agreements with professional services firms and banks, and the collection of monetary penalties exceeding $1.3 billion.
  • Tollman-Hundley Bank and Tax Fraud (United States v. Hundley, Freedman, Cutler & Zukerman). Co-lead counsel in a four-month jury trial of top executives of the Tollman-Hundley Hotel Group—former owners of Days Inn of America—for a $100 million bank fraud and a $29 million tax fraud.
  • Accounting Fraud (United States v. Fasciana & Amato). Co-lead counsel in a three-month jury trial against the outside counsel and CFO for the New York securities industry division of a Fortune 500 company for a multi-million dollar accounting fraud.
  • Pirro Tax Evasion (United States v. Albert Pirro & Anthony Pirro). Trial counsel in a six-week jury trial of Albert Pirro, a prominent Westchester lobbyist and lawyer and the husband of the then-Westchester County District Attorney, in a million-dollar tax evasion case.