대표 경험*

• Represented the chief executive officer of a public company under SEC investigation involving disclosure and executive compensation issues, resulting in no government action and termination of the investigation.
• Represented the chief financial officer of a public company under SEC investigation involving disclosure issues, resulting in no government action and termination of the investigation.
• Represented a public company under SEC investigation involving accounting restatement, resulting in no government action and termination of the investigation.
• Represented a chief operating officer in SEC and DOJ parallel prosecutions involving revenue recognition and disclosure issues.
• Represents a public company under SEC investigation involving revenue recognition issues.
• Represents a private fund adviser in SEC investigation involving potential conflicts of interest and disclosure issues.
• Represents registered representatives of broker dealer in SEC investigation involving Reg BI issues.
• Represented a private fund adviser in SEC investigation involving potential conflicts of interest and disclosure issues.
• Represented limited partners in a complex commercial dispute involving two private equity funds.
• Represented a public company in a private securities fraud and commercial dispute, resulting in dismissal of securities fraud claims.
• Served as outside fiduciary counsel to the board of trustees of a $50 billion public pension fund.

Representative Government Experience

• Lead SEC trial counsel in a matter involving undisclosed perquisite compensation against two former CFOs of an Omaha-based database marketing company, resulting in a successful four-week jury trial in Omaha, Nebraska.
• Lead SEC trial counsel in a disclosure fraud case against a California-based paint manufacturer and its president, resulting in a successful two-week jury trial in Los Angeles, California.
• Lead SEC trial counsel in a case involving market timing at a mutual fund complex against its portfolio manager, head of marketing, and sales employee, resulting in a partially successful 10-day bench trial in Denver, Colorado and Washington, D.C. before an administrative law judge.
• Lead SEC trial counsel in a case involving large-scale financial fraud at a Denver telecommunications company against several former executives, including the CEO, CFO, and COO.
• Lead SEC trial counsel in an action involving a US$54 million Ponzi scheme relating to green energy fraud against a president and a sales promoter, resulting in a successful summary judgment motion and more than $200 million in monetary relief.
• Lead DOJ trial counsel in a criminal case against a tax return preparer for preparing false tax returns, resulting in a successful jury trial in Alexandria, Virginia.
• DOJ trial counsel in a criminal case against an attorney for securities fraud, wire fraud, money laundering, and tax fraud relating to a pump-and-dump securities fraud scheme, resulting in a successful five-week jury trial in Las Vegas, Nevada.
• DOJ trial counsel in a criminal case against a chiropractor and his wife for federal tax fraud, resulting in a successful three-week jury trial in Reno, Nevada.

*Matters were handled prior to joining Foley.

프레젠테이션 및 출판물

• Panelist, “SEC Regulatory and Enforcement Priorities Under the Biden Administration,” Association of Corporate Counsel (June 23, 2021)
• Panelist, “A Primer on Internal Investigations,” Association of Corporate Counsel In-House Counsel Forum (September 23, 2021)