Experience Highlights

  • Represents the audit committee of a public oil and gas services company in DOJ and SEC investigations concerning alleged FCPA violations in West Africa and the Middle East and provides counsel to the company regarding its compliance program.
  • Represents the audit committee of a public food distribution company in an SEC investigation of alleged securities violations and provides counsel to the company on its compliance program.
  • Represented the audit committee of a public multinational technology company in investigations by the SEC and DOJ of whistleblower allegations of FCPA violations in Russia, China, Hong Kong, India and other countries, as well as counseled the company regarding its compliance program; following numerous presentations to regulators on the audit committee’s behalf, the DOJ closed its investigation with no action taken against the company.

Government Investigations

  • Representing an audit committee of a public food distribution company in an SEC investigation.
  • Represents an oil and gas services company in commerce and OFAC investigations into alleged economic and trade sanctions violations; following voluntary disclosures and presentations to regulators on the company’s behalf, both agencies closed their investigations with no action taken against the client.
  • Represented an executive of a food company in a federal, criminal, price-fixing investigation by the Antitrust Division of the DOJ.
  • Represented a former employee of a pharmaceutical company in a major investigation of potential FCA violations by the Massachusetts US Attorney’s Office.
  • Represents a senior-level banking executive in investigations by the SEC, DOJ, OCC and California AG in alleged securities and consumer fraud.
  • Represents an executive of a major pharmaceutical company in a criminal investigation by the Antitrust Division of the DOJ in a federal price fixing investigation.
  • Represented a major Japanese company in a DOJ investigation involving allegations of cartel activity in the manufacture of major consumer parts.
  • Represented a broker-dealer and two of its officers in lawsuits commenced by the SEC and SIPC Trustee, as well as investigations by the DOJ and several state Attorneys General.

Internal Investigations and Compliance

  • Counseling an audit committee of a public food distribution company regarding the development and implementation of a compliance program following an internal investigation of allegations of securities law violations.
  • Conducted a compliance program review and assessment, including root cause analysis and assessment of the culture of compliance, to provide counseling to a public multinational software corporation.
  • Engaged by the audit committee of a public oil and gas services company to provide counseling regarding the development and implementation of its compliance program.
  • Conducted an investigation for the audit committee of a public multinational technology company involving FCPA issues in Russia, China, Hong Kong and India and provided counseling regarding its compliance program.
  • Conducted an internal investigation of FCPA compliance for a public multinational technology company regarding sales practices in the Middle East.
  • Conducted an internal investigation concerning allegations of securities violations by a high-level executive and consulted with the audit committee and board of directors regarding the results of the investigation; represented the audit committee in a follow-on SEC investigation.

Trade Secrets, Data Privacy, Cybersecurity and related issues

  • Represented a major Chinese corporation in a DOJ investigation into the alleged theft of trade secrets for a manufacturing process.
  • Successfully represented a Silicon Valley company in a dispute over theft and misuse of IP.
  • Represented a Silicon Valley company in a contractual dispute with a major drug wholesaler concerning alleged HIPAA obligations over data.
  • Provided counsel for a public oil and gas services company for its board of directors training on cybersecurity.