Represented a broker-dealer, hedge fund analyst, CFO of publicly traded company, and management consultant in various DOJ and SEC investigations into alleged insider trading and securities fraud. The broker-dealer resolved fraud claims on a non-scienter basis and without “bad actor” restrictions. The hedge fund analyst and company CFO gave investigative testimony and the SEC did not bring charges. The management consultant cooperated, testified at trial of a co-defendant, and received a non-custodial sentence.
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