Securities Offerings in Capital Raises and Entity Organization
Counsel on securities offerings to multiple broker-dealers and entrepreneurs in capital raises and entity organization for a myriad of ventures, such as wine production, real estate (commercial/residential, assisted living), food services, automotive, manufacturing, IP licensing, and tech start-ups.
Counsel for Broker Dealer
Counsel to broker dealer on capital raises, private placement memoranda, securities offerings, entity formation, and non-competes.
Conducted an internal investigation on behalf of a large multinational bank in connection with a FINRA inquiry relating to fraudulent bond trading.
Dismissal Obtained in Securities Lawsuit
Obtained a dismissal with prejudice on behalf of a bank client of all claims brought by four plaintiffs who filed a multimillion-dollar securities lawsuit against the bank arising from their purchase of $7MM unsubordinated debentures.
Fortune 100 Technology Company Responds to SEC Inquiry
Conducted an internal investigation on behalf of a Fortune 100 technology company relating to a SEC inquiry into various forms of accounting fraud.
Successfully represented a movie studio in complex securities fraud litigation involving allegations of fraudulent transfer.
Lead Counsel for Kmart in Securities Fraud Cases
Lead counsel for Kmart in the successful defense of consolidated 10b-5 securities fraud cases, which ultimately settled for nuisance value.