Representative Matters

  • Represented various companies, boards, audit committees and special committees, as well as current and former directors and officers, in internal investigations and in related SEC investigations and shareholder litigation regarding stock options practices and related accounting and reporting issues.
  • Represented doctor accused of criminal misfeasance in his prescribing opiates and other drugs to a high-profile actress prior to her death.
  • Represented individual and entity in connection with IRS and US Attorney investigation into under-reported income over several years.
  • Represented NASDAQ company and principal shareholders against big four accounting firm in high-stakes breach of contract and negligence action.
  • Represented family in multi-million dollar breach of contract and negligence action regarding complex three-parcel real property funding secured by deeds of trust.
  • Confidential representation of corporate private investigator during internal investigation triggered by federal congressional investigation.
  • Confidential investigation of public company’s alleged “channel stuffing” and “round-tripping” transactions in connection with allegations that company revenues were overstated.
  • Confidential investigation of allegations of unregistered stock issuances in connection with public company’s acquisition through reverse merger.
  • Confidential investigation into allegations of selective disclosure by public company in violation of regulation FD.
  • Confidential investigation into auditor independence issues in connection with allegations of an audit failure at a publicly-traded company.
  • Confidential investigation into activities of executive at publicly traded company who allegedly posted confidential information on Internet bulletin boards.
  • Confidential investigation of major retailer in connection with a variety of criminal and civil fraud matters.
  • Confidential investigation into alleged improper animal care at a large research facility.
  • Represented various persons in insider trading investigations by the SEC and United States Attorneys’ Offices (multiple).
  • Represented claimants in FINRA arbitration regarding suitability, churning, and failure to supervise issues.
  • Represented commodities broker in NFA arbitration regarding suitability and related customer claims.
  • Represented health insurer in government investigation into claims practices.
  • Representation of law firm in federal criminal investigation regarding anti-kickback statutes. 
  • Represented licensed insurance agent in license revocation proceeding.  Administrative trial ended after four days and resulted in a small fine and restoration of agent's insurance license.
  • Represented real estate brokerage license applicant in Department of Real Estate administrative proceeding to deny licensure.
  • Represented CPA in action by California Board of Accountancy to revoke accountant's license.