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Conducted an independent investigation into allegations of workplace misconduct including sexual harassment, domestic violence, and inappropriate behavior within the Dallas Mavericks’ business operations. The seven-month investigation culminated in the release of The Report of the Independent Investigation of Dallas Basketball Limited, detailing harassment and workplace misconduct over 20 years, lack of compliance and internal controls within the organization, errors in judgment among Mavericks’ leadership, and recommendations for changes to the Mavericks’ organization.
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Represented Rutgers University in conducting a highly publicized investigation involving allegations of physical and emotional abuse by softball coaches; findings were published in a report containing recommendations subsequently adopted by the university.
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Commissioned by the state to investigate a use-of-force incident at New Jersey’s only women’s prison. Our final report received national media attention and resulted in Governor Murphy calling for the closure of the facility.
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Represented a Fortune 500 company in a matter involving allegations of wrongdoing at one of the company's offices in Asia.
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Represented a Fortune 500 company in an internal investigation related to several allegations that were made to the board of directors concerning the company's chief compliance officer.
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Retained by the Board of Trustees of a nationally-acclaimed jazz radio station to investigate management practices following claims of discrimination. Our interviews of over 25 current and past employees found a perceived racial bias in the workplace, for which we provided a list of recommended changes the Board adopted.
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Represent an international insurance brokerage company in defending against an investigation brought by the New Jersey Attorney General’s Office focused on campaign finance and pay-to-play laws.
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Represented a wine and spirits distributor in an investigation and enforcement proceeding conducted by the Office of the New Jersey Attorney General Division of Alcoholic Beverage Control involving allegations of sales practice violations and improper rebate practices. We helped the distributor and its officers avoid criminal proceedings and regulatory sanctions and limited its exposure to a settlement payment.
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Conducted an investigation into allegations of workplace discrimination at the New Jersey National Guard.
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Represented a university in conducting an internal investigation into alleged misconduct by a senior official.
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Represented a social media company in a matter involving potential campaign financing violations.
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Represented a state agency in conducting an investigation concerning a state contract and in resolving the state's dispute with the vendor.
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Represented the board of directors of a global communications company in conducting an internal investigation concerning the conduct of a senior official at the company.
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Hired by the Sussex County Board of Chosen Freeholders to conduct an investigation into a solar energy initiative that had resulted in the county experiencing millions of dollars in financial losses.
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Conducted an investigation into the facts and circumstances surrounding a government agency's demolition of a historic house in connection with an extensive, federally funded transportation project.
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Represented a Fortune 500 retailer in parallel investigations brought by the Department of Justice, the Securities and Exchange Commission, and the Internal Revenue Service regarding alleged stock options backdating, as well as related civil suits brought by shareholders. No charges were brought against the company or any of its directors or officers, and all civil claims were dismissed at the pleadings stage.
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Represented the chief financial officer and chief compliance officer of a New York-based hedge fund in parallel investigations conducted by the Securities and Exchange Commission and the Commodity Futures Trading Commission involving allegations of market manipulation. No charges were brought against the executive.
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Represented a securities industry professional in parallel investigations brought by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the New York Attorney General's office, and multiple state securities regulators, involving allegations of mutual fund market timing. No charges were brought against the client.
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Represented numerous entities accused of FCA and FCPA violations. For example, secured a deferred prosecution agreement for a global company that provides engineering and environmental consulting services to various federal, state, regional, and local governmental and quasi-governmental agencies. The case was initially brought as an FCA Qui Tam matter, which led to an investigation of alleged FCPA violations. The lead enforcement agencies were the U.S. Department of Justice and the U.S. Attorney's Office for the District of New Jersey.
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Represented numerous individuals in the banking and securities industries who were the targets of investigations conducted by the U.S. Department of Justice and the Securities Exchange Commission. Currently representing a client in connection with an SEC investigation concerning the potential mismanagement and/or misappropriation of funds of a multibillion-dollar international hedge fund.
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Engaged by FINRA’s Audit Committee to conduct an independent review of its Dispute Resolution Services arbitrator selection process; the review found no evidence of an improper agreement and made recommendations for FINRA’s Audit Committee to consider adopting to improve transparency.
