Life Sciences & Healthtech-related representations include:
- A biotherapeutics company in an investigation by the SEC concerning potential related party transactions and termination of an independent outside public auditing firm
- A biopharmaceutical company and certain of its directors and officers in securities class action and derivative litigation related to alleged misrepresentations in public offering materials concerning development of a drug candidate
- A life sciences company and its board of directors in a breach of fiduciary duty action related to claims of excessive compensation
- A biopharmaceutical company and certain of its directors and officers in securities class action and derivative lawsuits, as well as investigations by the DOJ and SEC, related to statements made concerning COVID-19
- A biopharmaceutical company in an action related to an investment in a clinical stage biotechnology company
- A biopharmaceutical company in an action related to payments and testing performed by a provider in a clinical study
- A biotherapeutics company in responding to a books and records demand and proxy challenge from an activist investor
- A molecular diagnostics company and its directors and officers in a series of lawsuits filed by shareholders related to an annual meeting and threatened proxy contest
Tech-related representations include:
- An audit committee of a board of directors of a company that designs and manufactures computer memory products in conducting an internal investigation related to SOX-compliance and internal controls issues
- An online and mobile gaming company in an action filed by investors in an initial coin offering
- A Korea-based electronics company in litigation filed in multiple courts related to its acquisition of a public company that designed audio and visual products and services for automakers and consumers (the acquisition was the largest Korean outbound M&A transaction on record)
- A provider of printed circuit board engineering and manufacturing services and its board of directors in class action lawsuits filed by shareholders related to the company's merger with a technology company
- An Internet infrastructure services provider and its board of directors in a derivative action related to executive compensation and compliance with IRS rules
- A special committee of an audio entertainment company in conducting an internal investigation related to allegations concerning implementation of a new ERP system
- An audit committee of a board of directors of a company that provides wireless broadband access solutions in conducting an internal investigation related to revenue recognition issues
- A semiconductor manufacturing company in an SEC investigation related to disclosure and expense reimbursement issues
- An internet infrastructure services provider in DOJ and SEC investigations, as well as derivative actions, related to options backdating allegations
- An internet automobile services-related company and its directors and officers in securities class action and derivative lawsuits, as well as M&A-related actions, arising from a multi-year restatement
Energy & Infrastructure representations include:
- A special committee of a board of directors in a class action related to a merger of two companies in the oilfield and fracturing services fields
- A foreign petrochemical company in a dispute with its joint venture partners related to an option agreement and the acquisition of membership interests
- The former directors and officers of one of the largest oil field services companies in the world in a securities class action lawsuit related to the company's merger with an oil segment of a large conglomerate
- An engineering and construction services company in an internal investigation related to potential FCPA violations
- An audit committee of a board of directors of a renewable energy company in conducting an internal investigation related to the company’s cash forecasting and liquidity
- An oil and gas company in multiple class actions and derivative litigation related to FCPA issues
- A water valve manufacturing company with foreign subsidiaries in conducting an internal investigation related to potential FCPA violations
- The largest energy provider in the Midwest and several of its subsidiaries in an SEC investigation, as well as in securities class action and derivative lawsuits, arising from an over $800 million dollar restatement
Finance & Fintech representations include:
- A leading venture capital firm in the crypto space in litigation related to control of a portfolio company utilizing blockchain technology for an online multi-player game
- The underwriters of a consumer company in multiple actions filed in different jurisdictions related to alleged misrepresentations in public offering materials
- An investment bank in an SEC investigation related to an acquisition of a public company
- A leading venture capital firm in the crypto space in a breach of contract dispute with one of its portfolio companies
- A global investment bank in litigation matters related to strategic and financial advice concerning various mergers and acquisitions
- A private equity firm in a securities lawsuit brought by shareholders of an acquired company
- A blockchain technology company and certain of its officers in trade secret and trade libel litigation filed in multiple jurisdictions
- A hedge fund in multiple insider trading investigations The former officers and directors of a cable partnership in a securities class action lawsuit related to the sale of the partnership’s assets
- An investment bank in multiple securities fraud lawsuits related to the sale of mortgage-backed securities
- A hedge fund in conducting an internal investigation related to allegations from a foreign securities regulator of inappropriate trading activities involving foreign securities
- A hedge fund and its investment officers in a lawsuit brought by an investor relating to a private company investment
- A hedge fund and its chief investment officer in an insider trading investigation
Other notable representations include:
- A founder in an action against his co-founder related to trade secret misappropriation and fiduciary duty claims
- A former executive in criminal and civil litigation related to an acquisition of a foreign software company that engaged in alleged accounting fraud
- An audit committee of a board of directors of a company that provides tax-advantaged consumer-directed health, commuter, and employee spending benefits in conducting an internal investigation related to revenue recognition issues
- An officer of a China-based company in a securities class action lawsuit, as well as investigations, related to the financial statements and customer relationships disclosed by the company
- A Philippines-based company in lawsuits filed in state and federal court related to a terminated stock purchase agreement
- A controlling shareholder in multiple class action lawsuits related to a going private transaction
- An international law firm in an action filed by an SEC Receiver arising out of an alleged multi-billion dollar Ponzi scheme
Includes experience from a previous firm.
