2024·Regulatory Defence
We represented a senior executive of a publicly listed company under investigation by the SEC for alleged market manipulation, securing a no-action outcome after 18 months of proceedings.
Our client, the Chief Investment Officer of a major asset management firm, was the subject of a formal SEC investigation into alleged market manipulation in connection with a series of large equity trades. We engaged with the SEC's enforcement division from the outset, managing the document production process, preparing our client for testimony, and presenting a comprehensive factual and legal response to the staff's preliminary findings. After 18 months, the SEC issued a no-action letter, closing the investigation without charges.
RegulatorySECWhite CollarUS Federal