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Experience

David and Gene represent companies and executives in a wide range of matters, facing all parts of the Federal government, and in civil litigation arising from those matters.  They have:

Individual representations

  • Defended a hedge fund partner at trial in the Southern District of New York on insider trading charges, winning acquittals on the principal insider trading charges and reversals on appeal of improper convictions

  • Defended the CEO of a crypto-lending business in connection with inquiries by the DOJ and SEC and companion civil litigations

  • Represented a university professor in an investigation by the Department of Health and Human Services

  • Represented the founder of a social media company in connection with investigations by the DOJ and SEC

  • Represented a trader in connection with investigations by the DOJ and FINRA

  • Represented a hedge fund executive in connection with investigations by the DOJ and SEC

  • Represented employees of a global financial institution in connection with an SEC investigation

  • Represented the head of public relations at a public company in connection with an SEC investigation, and subsequent civil litigation, into allegations of accounting fraud and insider trading

  • And generally, represented individual executives in investigations regarding potential insider trading, money laundering, sanctions, corruption, and antitrust violations

Entity representations

  • Defended BitMEX, a market-leading crypto-currency derivatives trading platform, against criminal and regulatory Bank Secrecy Act investigations

  • Defended global investment banks in myriad investigations by the DOJ, SEC, CFTC, National Futures Association, NYS Department of Financial Services and others concerning, among other things:

    • alleged fraudulent practices in the FX market

    • alleged corruption in hiring practices in Asia

    • alleged manipulation of interest rate swaps

    • alleged sanctions violations

    • money laundering and Bank Secrecy Act compliance

  • Represented a public company in an insider trading investigation by the SEC

  • Represented a public company in an investigation by the DOJ into allegations of accounting fraud

  • Represented a digital asset exchange in connection with investigations by the DOJ and FinCEN

  • Represented a gaming company in connection with investigations by the SEC and DOJ

  • Represented an energy company in connection with an investigation by the DOJ

Workplace conduct investigations

  • Conducted an internal investigation for a public company into allegations of sexual misconduct by an executive

  • Conducted an internal investigation for a tech company into allegations of gender and racial bias

  • Conducted an internal investigation for a public pharmaceutical company into allegations of workplace misconduct

  • Conducted an internal investigation for a healthcare company into allegations of misconduct by an executive

  • Represented a digital asset company in connection with investigations by the SEC and CFTC

  • Represented an airport services company in connection with a NY Attorney General’s Office investigation

Civil litigations

  • Defended BitMEX, a market-leading crypto-currency derivatives trading platform, in a class action in the Southern District of New York, in which class counsel agreed to dismissal of the action without any relief against our client

  • Represented investment banks and other clients in various civil class actions in the Southern District of New York concerning the trading of financial instruments

  • Represented members of management of a public company in a commercial litigation

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