Securities Litigation
Successfully defended law firm and investigator hired by law firm in civil Securities & Exchange Commission (SEC) investigation. The SEC was investigating allegations of insider trading and alleged collusion between law firms and hedge funds known for taking “short” positions on stocks. Though the SEC field office expressed its intent after conducting numerous interviews to recommend the institution of a civil action, the Commission closed its investigation without institution of civil action after receiving the client’s “Wells” submission.
Managed team in defense of computer manufacturer in derivative class action securities case.