Representative Matters & Highlights

Our attorneys combined have more than thirty years of experience in corporate and securities law matters, real estate private fund offering experience, mergers and joint venture agreements, immigration, and securities and commercial litigation. We have handled more than 175 litigation matters and 192 transactional matters between 2001 and 2015.  These are some of our representative matters and highlights:

Representative Transactional Matters

  • Represented a regional bank in its acquisition of a securities broker dealer;
  • Facilitated the investment adviser and commodities trading adviser registrations of several SEC/NFA, and state-registered investment firms;
  • Represented a financier in the acquisition of a private homeland security company, prepared a registration statement that the SEC declared effective, facilitated the quoting of the company’s stock in the over the counter bulletin board, became the company’s securities counsel and prepared its SEC filings and board minutes and resolutions and drafted various commercial contracts and agreements, and represented the company offensively and defensively in various commercial and securities litigation matters;
  • Successfully sued the State of Florida on behalf of a public company on a matter involving the processing of its articles of merger and then became its corporate and securities counsel responsible for the preparation of its SEC filings and reports and the filing of a registration statement;
  • Represented the general partners of several real estate investment funds in the preparation of their private offering documents, limited partnership and limited liability company operating and partnership agreements;
  • Prepared pre-seed round compliance offering documents for startup companies; and
  • Prepared the private offering documents for capital raises conducted by various private businesses including EB-5 loan model securities offerings.

Litigation and Regulatory Defense Highlights

  • Argued and obtained a summary dismissal of all defendants in SEC’s purported $300 million “ponzi” scheme filed in federal court, assisted in appellate proceedings with the pro-defense result setting new precedent after being affirmed on appeal;
  • Obtained dismissal after federal bench trial of one client while others found liable in SEC case against control person of micro-cap reporting company;
  • Argued and obtained dismissal of shareholder federal securities suit, argued and obtained affirmance on appeal;
  • Co-counseled financial institution’s compliance officer’s federal criminal defense through three-month jury trial in purported financial transaction reporting fraud and money laundering case, resulting in hung jury – a win for the defense;
  • Obtained dismissal of most SEC claims brought against former Kmart Corp. officer on first brief in federal district court case;
  • Obtained expungement of FINRA CRD, IARD, and State of Florida customer complaint disclosures for investment adviser; and
  • Co-counseled civil action brought on behalf of defrauded EB-5 investor.

Significant Non-Public Results

The best client result is obtained when he or she has avoided the court system or contact with the government in the first place, resulting from our counsel.  The next best result is when with our assistance he or she is not escalated to an enforcement investigation after an examination has concluded, or if there was no examination then we successfully navigated our client through an investigation without being charged with wrongdoing.

We are not bragging when we say we are among the best at what we do. We earn our pay every day. Although we never promise a result, we are results-driven. In regulatory matters in particular, we can do the most good and deliver the greatest value for our clients involved in non-public investigations. This is a sample of what we have done for our clients in non-public regulatory defense matters:
Click Here- SEC Discontinuation LTR
Click Here- FINRA Discontinuation Ltr

References are available.