Representative Investigations Conducted

• As AUSA, led False Claims Act investigation of communications systems provider for alleged procurement fraud in connection with BART rail project, resulting in penalties-based settlement and factual admissions. Other types of businesses investigated under the False Claims Act, including qui tams (whistleblower) actions: cardiac device manufacturer; hospice facility; psychotherapy provider; employee incentive program company; electronics distributor; home health services provider; and transcranial magnetic stimulation procedures provider.
• As FINRA enforcement counsel, led investigation into broker-dealer for excessive organization and offering expenses, undisclosed underwriting compensation, failure to supervise, and unsuitable recommendations, resulting in fine, restitution, and revisions to firm’s supervisory systems and procedures. Also, led investigation of registered representative who recommended unsuitable high-risk, speculative investments and provided false on-the-record testimony, resulting in lifetime ban. 

Representative Securities and Financial Services Matters

• As trial counsel, obtained complete defense victory for private equity funds of global financial institution in AAA arbitration concerning alleged breaches of fiduciary duty.

• As trial counsel, obtained complete defense victory for leading investment banking advisory firm in FINRA arbitration brought by family office against former Lehman Brothers representatives related to purchases of auction rate securities.

• Represented syndicate of 33 underwriters in favorable resolution of class action alleging violations of Sections 11 and 12(a)(2) of the Securities Act related to initial public offering of HCA Holdings, Inc.

• Represented global investment bank in putative class action alleging violations of Section 11 of the Securities Act related to issuances of volatility-linked exchange-traded notes. Obtained dismissal of all claims and affirmance by the Second Circuit.  In re TVIX Sec. Litig., 25 F. Supp. 3d 444 (S.D.N.Y. 2014), aff’d, Elite Aviation LLC v. Credit Suisse AG, 588 Fed. Appx. 37 (2d Cir. Dec. 16, 2014).

• Represented alternative trading system in resolving SEC investigation alleging failure to protect confidential subscriber information under Regulation ATS. In the Matter of LavaFlow, Inc., Litig. Release No. 72673 

• Represented multinational engineering and manufacturing company in resolving one of the largest cases ever brought under the Foreign Corrupt Practices Act. SEC v. Siemens AG, Litig. Release No. 20829.

Other Representative Litigation Matters

• Trial counsel for one of the world's largest telecommunications companies in FCC hearing related to alleged discriminatory treatment of NFL Network. Settled post-hearing on favorable terms.

• Trial counsel for U.S. Environmental Protection Agency in action related to the the fluoridation of public drinking water, which was the first-ever trial under Section 21 of the Toxic Substances Control Act.

• Represented government in matter alleging conspiracy between the White House and leading social media company to suspend plaintiff’s social media account, in alleged violation of her free speech rights. Obtained dismissal of all claims and affirmance by the Ninth Circuit (argued).  Huber v. Biden, 2022 U.S. Dist. LEXIS 48660 (N.D. Cal. Mar. 18, 2022), aff’d, 2022 U.S. App. LEXIS 35107 (9th Cir. Dec. 20, 2022), cert. denied, 144 S. Ct. 221 (2023). 

• Represented Taiwanese manufacturer in multidistrict litigation arising from alleged international conspiracy to fix prices of TFT-LCD panels. On behalf of joint defense group, briefed and argued motion to dismiss, resulting in dismissal of Sherman Act claims of opt-out plaintiff.  Proview Tech. Inc. v. AU Optronics Corp. (In re TFT-LCD Flat Panel Antitrust Litig.), 2014 U.S. Dist. LEXIS 57828 (N.D. Cal. Apr. 18, 2014).  All matters settled on favorable terms.