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Independent Consultant for SEC Consent Judgment Approved by the SEC and retained by industry leading web-based payment processing company as "Independent Consultant" required by SEC Consent Judgment. The...
Successful Defense of Challenge Regarding Disclosures in Proxy Statement Represented Fortune 100 global diversified technology company and directors in action alleging breach of fiduciary duty with respect to Proxy Statement disclosures...
FINRA Investigation of AML Policies and Procedures Represented a large broker-dealer in connection with a FINRA investigation of the client's policies and procedures for anti-money laundering (AML) compliance.
FINRA Investigation of Options Trading Represented a highly automated market maker in connection with a FINRA investigation of the client's options trading.
Public Company Special Litigation Committee Investigation Represented the Special Litigation Committee of a public company engaged in a diversified manufacturing business in connection with a shareholder demand asserting...
Representation of Highly Automated Broker Dealer Foley represented a highly automated broker-dealer in connection with a FINRA investigation that dealt with trading practices and supervision. The FINRA staff pursued...
Putative Securities Class Action - Strayer Education, Inc. (M.D. Fla.) Representing Strayer Education Inc., and its CEO, CFO, and COO in a putative securities class action filed in the U.S. District Court for the Middle District of...
Successful Defense of Senior Officer in SEC Investigation Regarding Mortgage-Backed Securities Transaction Represented publicly-traded investment firm's Chief Investment Officer in investigation by SEC (as part of the government's RMBS Working Group Task Force) concerning...
Government Enforcement Actions - Senior Officer of Fortune 500 company (M.D. Fla.) Representing a former senior officer of a Fortune 500 company in government enforcement proceedings, including False Claims Act and SEC enforcement actions,...
Securities Class Action and Shareholder Derivative Actions - Senior Officer of WellCare Health Plans, Inc. (M.D. Fla.) Representing a former senior officer of WellCare Health Plans, Inc. in a series of shareholder derivative actions and securities class actions filed in the U.S....