Representative Cases
Explore our representative cases categorized by type on this webpage. Gain insights into our successful legal endeavors, showcasing our expertise in various areas:
FINRA CASES
Industry Dispute
FINRA ARBITRATION
Represented financial adviser in dispute with former employer, a multinational investment bank and financial services company, regarding the contents of the financial adviser’s Form U-5. Following a successful negotiation, the company agreed to change the language in the Form U-5.
Result: Settled
Customer Dispute
FINRA ARBITRATION
Represented individual in dispute with multinational telecommunications company regarding a SIM swap that was conducted on the individual’s cell phone and his cryptocurrency assets were removed from his accounts. Following a successful negotiation, the company agreed to settle the dispute and the individual recovered all of his stolen funds.
Result: Settled
Customer Dispute
FINRA ARBITRATION
Represented individual in dispute with financial services company regarding the restriction of the individual’s day trading account. Following a final hearing, the arbitration panel found that the company was liable for the losses the individual incurred due to his inability to trade in his account.
Results: Claim granted
Industry Dispute
FINRA ARBITRATION
Represented financial advisor in dispute with former business partner regarding an alleged violation of a non-compete clause. Following a final hearing, the arbitration panel found that the financial adviser did not violate the agreement.
Results: Claims Denied
WHITE COLLAR CASES
Economic Espionage Act
Civil Defense
Represented individual in criminal investigation and civil lawsuit for alleged violations of the Economic Espionage Act. The case involved the alleged theft of trade secrets from a defense contractor; however, we were able to demonstrate that the material allegedly taken was not a trade secret. Prosecutors declined prosecution. The alleged victim then filed a civil action in state court. Following a bench trial, judgement was entered in favor of our client.
Results: Resolved
Civil Banking Misconduct
Civil Fraud
Bank controlled $40 million is assets from Community Foundation and asserted the right to control investment decisions. Community Foundation claimed that as the beneficiary of various trusts held by Bank, it had the right to determine investments. Bank retained us, and after negotiations failed, we filed suit on behalf of Bank. The case resolved during trial when Bank agreed to turn over all assets to the Community Foundation.
Results: Resolved
Securities Fraud
WHITE COLLAR CRIME
Represented securities broker in state and federal investigation into certain foreign investments he sold to customers but which ultimately proved not to be profitable. Following an investigation, the SEC decided not to pursue any enforcement actions against broker; however, State decided to attempt to revoke state license. Following a multi-day hearing, the hearing panel opted to only issue a warning.
Results: Warning Only
Tax Fraud/Money Laundering
WHITE COLLAR CRIME
Represented two Serbian immigrant brothers in investigation by IRS and U.S. Attorney’s Office into allegations of tax fraud and money laundering. Following an extensive investigation and negotiations, during which the defendants decided not to enter into plea negotiations, the government terminated its investigation and decided not to charge the brothers with a crime.
Results: Not Charged
Mail/Wire Fraud
WHITE COLLAR CRIME
President of mortgage company was initially charged in state court with theft alleging that she has misused mortgage company assets. She was subsequently indicted in federal court for Mail Fraud and Wire Fraud. . Following a jury trial, she was found not guilty of fraud. Following the acquittal in federal court, state charges were dismissed.
Results: Dismissed
Insurance Fraud
WHITE COLLAR CRIME
Represented physician on allegations of narcotics offenses and Medicare and health insurance fraud. Following an extensive investigation, we were able to convince the Drug Enforcement Agency and the Office of Inspector General that there were no criminal violations. Physician instituted new compliance procedures and continued practice without limitation.
Results: Dismissed
Medicare Fraud
WHITE COLLAR CRIME
Represented chiropractic practice in allegations of Medicare fraud involving charging for treatment that was not medically necessary. These allegations were based upon information provided by a disgruntled former employee turned “whistleblower” who sought a portion of the government’s recovery in the matter. Ultimately, following an exhaustive investigation, we were able to prove that all medical treatment provided was medically necessary.
Results: Able to Prove
Investment Fraud
WHITE COLLAR CRIME
Represented attorney who had represented “investment broker” selling shares in gold mine in Ecuador. The broker’s company, however, proved to be a Ponzi Scheme, and in order to lessen his sentence, the perpetrator of the fraud contended that his attorney (and others) was involved in the fraud. We were able to demonstrate to the government that the attorney knew nothing of the fraud and was himself a victim. The government elected not to pursue action against the attorney.
Results: Not Guilty
Healthcare Fraud
WHITE COLLAR CRIME
Represented immigrant from Belarus in investigation into her operation of a private ambulance company in the United States. The Department of Justice and the FBI suspected the company of engaging in Medicare and healthcare fraud by providing services that were not “medically necessary”; however, we were ultimately able to convince the government that there were no violations of the law or federal regulations.
Results: Not Guilty
Bank Fraud
WHITE COLLAR CRIME
Represented former citizen of the Russian Federation in charges of bank fraud and other serious white-collar offenses. Following an extensive investigation by defense counsel, defendant was found not guilty at trial of all serious felony charges and received a minimal prison sentence.
Results: Not Guilty
Insurance/Medicare Fraud
WHITE COLLAR CRIME
Represented former citizen of Ukraine and owner of a private ambulance company in Indictment alleging insurance fraud, Medicare fraud and making false statements to the FBI. Case was the subject of a national press conference by the Attorney General announcing the Indictment. Prior to trial, the government dropped all fraud charges, and the defendant ultimately pled guilty to a single count of making a false statement.
Results: Dropped Charges
Drug Trafficking
WHITE COLLAR CRIME
Represented alleged co-conspirator in major cocaine distribution case charged in federal court. Although defendant had been associated with other defendants found in possession of significant quantities of cocaine, we were able to prove that his relationship to co-defendants had nothing to do with drug distribution. Following a two-week jury trial, the defendant was found not guilty.
Results: Not Guilty
Espionage Statutes
WHITE COLLAR CRIME
Represented official in Department of Homeland Security in national security investigation into alleged contacts with intelligence agents of the Russian Federation. Following the investigation conducted by the FBI and the National Security Division of the Department of Justice, we were able to convince government officials that any conduct was innocent and unknowing and that there were no violations of the Espionage Statutes.
Results: Not Guilty
Sexual Assault
CRIME
Client was wrongfully convicted in state court for sexual assault. We were retained after his conviction to see if there was anything that could be done. Our investigation revealed the existence of a witness who had been told by the alleged victim that no assault had occurred. We filed a state post-conviction relief petition in state court which was denied. We then filed a federal habeas corpus action pursuant to 42 U.S.C. 2254. Finally, after a hearing in federal court, the federal judge vacated the state conviction and ordered another trial. The state then dismissed the case against the defendant. He was released from prison, and his conviction was removed from his record.
Results: Dismissed
International Cases
International Emergency Economic Powers Act
INTERNATIONAL CRIMINAL DEFENSE
Represented two Russian telecommunications executives in a Department of Justice investigation into Foreign Corrupt Practices Act violations involving the bribery of Central Asian government officials. Following extensive negotiations, the executives were granted immunity from prosecution by the U.S. government.
Results: Granted Immunity
Violations of the International Emergency Economic Powers Act
INTERNATIONAL CRIMINAL DEFENSE
Represented citizen of the U.K. in U.S. government investigation into alleged sanctions violations, violations of the International Emergency Economic Powers Act (IEEPA) and money laundering. Following an extensive investigation both in the United States and in Panama, we were able to convince the government that its understanding of certain transactions was mistaken and the there were no criminal or administrative violations.
Results: Not Guilty
Defense Strategy
INTERNATIONAL CRIMINAL DEFENSE
Represented defense contractor working with U.S. Special Forces in Afghanistan on allegations of providing equipment to the Taliban. Contractor was arrested in Afghanistan and held in military detention facility for several months without access to counsel. Once we were retained as counsel, we were able to secure the contactor’s return to the United States. Ultimately, we were able to determine that the information the Army had originally relied upon was unreliable. Contractor was released from custody, given his security clearance back and returned to Afghanistan where he continued working with U.S. forces.
Results: Released
