Representing C-suite executive in FCPA actions brought by the DOJ and SEC as well as related securities law litigation
Wound down an $8 billion hedge fund, assuming responsibility for:
High-profile DOJ and SEC enforcement actions
All insurance and indemnification issues
Fund audits and forensic accounting
Evaluation of the merits of potential causes of action and leverage points against relevant service providers and counterparties to recoup destroyed enterprise value
The C-suite function
Acting as a trusted advisor to the fund Founder
Represented domestic manufacturer in complex business dispute
Represented internet media executives in complex business dispute with their former company
Represented private equity fund in crisis management situation and complex insurance dispute
Retained by private equity and hedge funds as well as senior executives and portfolio managers in sensitive, high-stakes employment related matters
Coordinated a real estate executive’s defense in the face of allegations of transactional and tax fraud
Represented a portfolio manager at a prominent hedge fund in an insider trading investigation
Retained by a London-based hedge fund and high-net-worth family office to restructure the entire enterprise inclusive of dealing with registration, tax and off-shore entities, and related cross boarder issues. Also provided advice to this fund in connection with time sensitive trading issues and shareholder activism
"Rescued" a prominent Napa Valley Sommelier from a partnership coup d'état. Reconstituted and restructured this highly successful business and brand with financing from a multi-billion dollar family office. This successful extraction and business resurrection -- inclusive of dealing with legal, regulatory, commercial and reputational issues -- represents a novel approach as a "fixer" and match-maker that has proven to be dynamic and in strong demand
Retained by public technology company in connection with:
A Foreign Corrupt Practices Act "FCPA" investigation
Successful hedge fund activist defense campaign re: board composition
A complex patent infringement defense pending
Successfully represented large hedge funds and individuals in connection with high profile SEC/DOJ inquiries and investigations and prosecutions
Advised hedge funds, general partnerships and family offices on a full range of operational, organizational and strategic matters; e.g., optimization of partnership/investment fund structures. Provided forward thinking and pragmatic advice re: regulatory and enterprise risk assessment and management; reputational matters and press relations; crisis prevention, mitigation and management
Retained by private equity and hedge funds to advise, e.g.; on seed investments and partnership structures; counterparty relationships; fund formation and documentation, product development, branding and investment terms
