Recent Federal Criminal Representations

• Residential mortgage backed securities trader at seven-week trial on charges of securities fraud, resulting in acquittals or mistrial on eight of nine charged counts. Sentence of probation on the one count of conviction.

• Former CEO of publicly traded retail drug store chain in grand jury investigation into charges of securities fraud, and parallel SEC enforcement action.

• Treasurer of Puerto Rico bank in grand jury investigation involving charges of earnings manipulation.

• Senior executive in food service company charged with conspiracy to falsify books and records at plea and sentencing. Sentence of time served.

• Owner of construction company charged with tax evasion at plea and sentencing. 

• Cooperating witness in labor racketeering investigation at plea and sentencing. Sentence of time served.

• Investigation conducted in Zimbabwe, Tanzania and South Africa into accounting fraud, commercial kickbacks and bribery at branch offices of international banking conglomerate.

• International labor union in imposition of trusteeship and restructuring of district council and local unions under terms of federal consent decree.

• Real estate management company (portfolio company of global investment company) involving allegations of racial profiling made against private security force.

Judicial Appointments

• Appointed by United States District Judge P. Kevin Castel, on motion of SEC, to serve as Distribution Agent in Securities and Exchange Commission v. Vivendi Universal, S.A. et al., Southern District of New York

• Appointed by United States District Judge Allen G. Schwartz, on motion of SEC, to serve as Receiver in Securities and Exchange Commission v. Wamex Holdings, Inc., Southern District of New York

• Appointed by then-United States District Court Judge Barrington D. Parker, Jr. to serve as Receiver on behalf of insolvent life insurance company in complex civil fraud litigation with parallel criminal proceedings. Donna Lee H. Wiliams, Insurance Commissioner of the State of Delaware, as Receiver for National Heritage Life Insurance Co. v. LPDA Acquisition Corp. et al., Southern District of New York

• Appointed by Chief Judge Judith S. Kaye, New York Court of Appeals, to serve as Counsel to the Grand Jury Project, a commission of judges, prosecutors, defense attorneys and law professors formed to issue findings and recommendations on the New York state grand jury system.

• Counsel to former federal judges, United States Attorneys and high-ranking Justice Department officials acting as amici curiae in federal criminal case attacking constitutionality of mandatory minimum sentences (United States v. Angelos, 433 F.3d 738 (10th Cir.), cert. denied, 2006 WL 1880941 (Dec. 4, 2006)).