Criminal, Regulatory and Internal Investigation Experience

  • Internal investigation and controls review on behalf of global charitable organization in connection with allegations of diversion of humanitarian funds to Middle East-based terrorist organization
  • A South Africa based company in SEC and DOJ investigations into potential violations of the FCPA and federal securities laws in connection with a government social services tender and related public disclosures
  • An international technology outsourcing company in connection with criminal and civil FCPA investigations, and a related internal investigation
  • An investment bank trader in connection with government investigations into fraud and collusion in connection with LIBOR and ISDAFIX submissions
  • A Division I Football Coach in NCAA Investigation regarding recruiting and improper benefits
  • A for-profit education institution in Congressional and related investigations
  • A hedge fund manager in insider trading cases brought by the US Attorney for the Southern District of New York and the SEC
  • An accounting firm in a Madoff-related securities fraud investigation
  • Several former Lehman Brothers managing directors in government investigations
  • Managing directors at a Canadian investment bank in criminal and civil investigations into the fraudulent mismarking of the bank's natural gas derivatives trading book
  • A tax attorney at an investment bank in a federal grand jury investigation of allegedly fraudulent tax shelters
  • A financial institution in a CME and internal investigation into commodities trading
  • An international freight-forwarding company in a criminal investigation in connection with the shipment of United States-origin goods to Iran in possible violation of US export restrictions and related matters

Jeff also participated in the Independent Compliance Consultant review of two investment advisors pursuant to settlements with the SEC and state regulators relating to improper market timing in managed funds and has experience representing clients in investigations arising under criminal forced labor statutes.

Civil Litigation Experience

  • Insurance companies in litigations and arbitrations in multiple jurisdictions relating to workers compensation profit-sharing program
  • A financial services company in litigations brought by the New York State Attorney General's Office and a private plaintiff class arising from alleged conflicts of interest in the home loan industry
  • Lead counsel for international financial services firm in disputes relating to derivatives trading and the purchase and sale of physical commodities
  • An investment bank in litigation and arbitration brought under the Commodity Exchange Act and antitrust laws arising from trading activity on the ICE Futures exchange
  • The CEO of a leading investment bank in securities fraud litigation based on exposure to loan repurchase claims arising out of the sale of mortgage-backed securities and compliance with generally accepted accounting principles and SEC regulations
  • An Indian conglomerate in litigation brought by the former CEO of its US subsidiary
  • An investment bank in litigation arising from a failed real estate and resort development transaction in the Dominican Republic
  • A foreign bank in a dispute concerning development and establishment of a Mexican infrastructure fund
  • A pharmaceutical company in litigation relating to its prosecution of Abbreviated New Drug Applications and its obligations under a stock purchase agreement
  • A leading credit card issuer in connection with alleged violations of the RICO, Lanham and Computer Fraud and Abuse Acts, as well as allegations of breach of contract and unfair business practices under state law
  • A consumer products company in defense of false advertising suits brought by competitors and consumers under the Lanham Act and state consumer protection laws
  • A pharmaceutical company in a suit alleging improper bundling of drug products in violation of the Sherman Act