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NYMEX Arbitration Representing Clearing Company and High Frequency Trader Foley’s clients – a nationally known clearing company and a high powered high frequency trading company – were sued by a commodities trading company whose trader...
Pizza Hut International, Inc. et al. v. Dairy Farmers of America, Inc. et al. Represented individual defendant in action asserting various tort claims arising out of alleged market manipulation.
Foreign Corrupt Practices Act Investigation Represented a finance executive in connection with investigations by the institution's audit committee, the U.S. Department of Justice, and the SEC into potential...
Fortune 500 Company Representation Provide ongoing representation of officers of a Fortune 500 public company in multiple proceedings, including U.S. Department of Justice (DOJ) criminal and SEC investigation,...
Representation of Credit Officer in SEC Investigation Represented the chief credit officer of a major financial institution in investigations by the SEC and by the audit committee of the institution's board of directors,...
FINRA Investigation of Former Employees of a Large Broker-Dealer in Connection With Sales of Hedge Funds Represented five former registered representatives of a major Wall Street firm in connection with an investigation by the Financial Industry Regulatory Authority...
Defended Broker-Dealer in Multi-District Class Action Represented Morgan Keegan & Company, in a multi-district class action antitrust action pending in the Southern District of New York. Morgan Keegan, along with...
Alleged Losses in Auction Rate Securities This matter involved purchases by the plaintiffs of $273 million of collateralized debt obligation auction rate securities. The plaintiffs alleged manipulation of...
Contract Litigation Regarding DPM Trading Partnership Represented a substantial angel investor in the derivatives markets. This case involved a partnership dispute involving disputed and competing claims to trading...
FINRA Customer Arbitration and Related Federal Court Injunctive Action Represented a clearing firm in a FINRA arbitration filed by customers of a broker-dealer for which the clearing firm provided services. Four groups of customers...