SAMPLE REPRESENTATIONS

  • Representation of companies facing DOJ/SEC investigations related to cryptocurrency and token issues.
  • Advise cryptocurrency exchange regarding application of securities laws to digital assets
  • Representation of financial services companies, including investment advisers, broker dealers and their associated persons in an SEC investigation related to use of quantitative models and related disclosures.
  • Representations of multi-national companies in DOJ/SEC investigations of possible FCPA issues, including companies in the defense, technology, extractive and transportation industries.
  • Representation of audit committee conducting independent investigation of possible Ethics Code violations and related issues.
  • Representations of China based issuers and their executives in SEC investigations and related private securities fraud class actions and derivative lawsuits, including companies in the manufacturing, and natural resource development industries.
  • Representation of corporation in securities class actions and shareholder derivative class actions arising from restatement of financial statements. All cases dismissed.
  • Representation of public companies, audit committees and independent auditors regarding compliance with requirements of Sarbanes-Oxley.
  • Representation of government (at request of the SEC) as Receiver locating and collecting assets of an individual who committed securities fraud.
  • Representation of a charitable organization in connection with SEC/FINRA/NYSE rulemaking proceedings related to travel and entertainment rules for regulated entities and persons. Successfully persuaded regulators to address issues raised by client in proposed rule.
  • Representation of a senior corporate officer in a Freddie Mac SEC enforcement investigation and related shareholder derivative action and ERISA class action alleging breach of fiduciary duty. Favorable resolution of all matters.
  • Representation of foreign nationals in SEC market manipulation investigation. After SEC froze clients US accounts, persuaded SEC to unfreeze the accounts and allow clients to repatriate their funds with no SEC action against them.
  • Representation of the former CEO of the UK subsidiary of a US company in an SEC enforcement investigation relating earnings restatement. After SEC threatened to sue, persuaded them to bring no claim against client.
  • Representation of accounting firm and its partners in PCAOB investigation. Favorable resolution with no sanctions imposed on individual partners.
  • Representation of financial services provider in SEC enforcement investigation regarding alleged improper sales practices, inadequate reporting, and inadequate recordkeeping. Successfully persuaded SEC that client's revised procedures (designed by Ms. Meshulam) resolved any issues. SEC closed the matter with no action.
  • Representation of WorldCom/MCI Inc. in private securities class actions, DOJ investigation and state securities enforcement investigations, and select bankruptcy proceedings arising from 2002 earnings restatement.
  • Defense of former Enron chairman, Ken Lay, before Congress and in SEC enforcement investigation.
  • Representation of non-profit corporation directors sued by association members for fraud and breach of fiduciary duty. After defeating a motion for preliminary injunction, won dismissal of the case with prejudice.