Dan O'Connor worked on a fast-paced internal investigation and simultaneous SEC investigation.

Recent highlights of the Litigation Department's securities enforcement practice include:

• Represented a public company in an internal investigation and subsequent SEC investigation arising from a financial restatement concerning the reporting of margin support payments to wholesale customers.  The SEC investigation resulted in an entry into the SEC’s first non-prosecution agreement.  We continue to represent the company in a follow-on securities fraud class action and related derivative litigation.  For a description of an associate’s role in this matter, click here.
• Our firm currently represents various hedge funds and other investment managers in an extensive insider trading investigation being conducted by the United States Attorney’s Office for the Southern District of New York and the SEC.  We are assisting our clients in responding to government inquiries, performing internal investigations, and advising them on insider trading compliance policies and training programs.  For a description of an associate’s role in this matter, click here.
• Investigation on behalf of an audit committee of a public company into financial reporting and other accounting issues following the Company's announcement that it would need to restate its financial results for three different fiscal years.
• Representing a multinational biomedical device developer in investigation of allegations of improper payments to foreign officials under the Foreign Corrupt Practices Act. For a description of an associate's role in this matter, click here.
  

Amanda Raad (Indiana University School of Law '05) and Brent Jones (University of Virginia School of Law '07) teamed up with partner Asheesh Goel on a Foreign Corrupt Practices Act matter.

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