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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.
Defended Owner of China trademark Lawsuit filed in California state court by manufacturer of rice cookers against registered owner of China trademark used in connection with those rice cookers. The...
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...
Class Action Regarding Golf Club Membership Upgrades As Securities Members of a consortium of four golf courses filed class action challenging, among other things, membership upgrades induced by alleged misrepresentations in the...
Foley Protects Shareholder's Right to Board Seat Foley recently secured a favorable settlement for client PL Capital LLC in a case involving issues of first impression filed in the Middle District of Pennsylvania....
Market Misconduct Tribunal Represented a portfolio manager for a major investment management firm in a three week insider trading trial before the Market Misconduct Tribunal in Hong Kong.