Search for "Securities And Exchange Commission "

Derek Miller is a seasoned criminal attorney who served thirteen years as a Deputy Attorney General with the New Jersey Office of the Attorney General, Division of Criminal Justice, before co-founding Lackey & Miller, LLC. While serving as a Deputy Attorney General, Mr. Miller was assigned to the Cyber and Financial Crimes Unit and the Office of Securities Fraud and Financial Crimes Prosecution, concentrating his investigations and prosecutions on complex financial and white-collar crimes. During Mr. Miller’s tenure, he obtained convictions at trials involving offenses such as corporate misconduct, theft by deception, tax evasion, identity theft, and money laundering. Throughout Mr....

Brad Henry represents entities and individuals in criminal and regulatory litigation and investigations, international arbitrations, and internal investigations. Brad is a board-certified criminal trial specialist and has represented and defended clients in trials and investigations involving U.S. Attorneys’ Offices in over fifteen different districts around the country.

Brad represents clients in investigations and litigation involving the Department of Justice (National Security Division, Computer Crime and Intellectual Property Section, Environment and Natural Resources Division), Securities and Exchange Commission, Commodity Futures Trading Commission, Office of Foreign Assets Control, as well as other federal, state and local agencies. He also conducts internal investigations...

Marlon Paz is a partner in the Washington, D.C. office of Locke Lord LLP where he concentrates his practice on securities matters, business litigation, white collar criminal defense and internal investigations. He has extensive experience with a wide range of complex securities issues, in the regulatory and litigation context, internal investigations and compliance, including the Foreign Corrupt Practices Act, and global anti-corruption matters. Prior to joining the Firm, he was the Principal Integrity Officer of the Inter-American Development Bank, where he led a team of lawyers and investigators in the development, investigation and prosecution of fraud and corruption cases. He also...

Mr. Weigel is the president of Russell C. Weigel, III, P.A and a securities lawyer with over 25 years of legal experience. Prior to establishing the firm in 2005, for five years Mr. Weigel worked as a securities transactional and securities litigation attorney in private practice successively for two law firms where he assisted and advised on public company mergers, general corporate and securities regulatory compliance matters, defense of NYSE and SEC investigations, and prosecuted and defended securities arbitration and civil litigation matters.Between 1990 and 2001, Mr. Weigel worked for the Securities and Exchange Commission (also known as the SEC)...

Daniel H. Smith is an elder law and estate planning attorney at Advocates in Aging, Law Office of Wiesner Smith PLLC in Sarasota, Florida, focusing on Elder Law, Medicaid Planning, Veterans Benefits, Wills, Trusts, and Estate Planning, Special Needs Planning, Probate and Trust Administration, Guardianship, and Assisted Living/Nursing Home Issues. Daniel is licensed to practice law in Florida and Virginia. Daniel is also a VA Accredited Attorney, and represents veterans and their families with benefits claims and appeals of VA Benefits decisions. Daniel received his law degree with honors from the George Mason University School of Law in Arlington,...

Mark is a capital markets attorney known among his colleagues for his expertise in corporate and securities law. He counsels clients in raising capital online (tokens, coins, STOs, digital assets and other "securities"). He offers unique insight and perspective to his clients because of his experience in private practice representing both public and private companies in business transactions and courtroom securities litigation for more than twenty-five years and serving in senior positions as an attorney with the U.S. Securities and Exchange Commission and as a Special Assistant United States Attorney for eight years. While Mark's clients include other attorneys, his passion...

Mark Pugsley's practice is focused on financial fraud, investment disputes, FINRA Arbitrations, and whistleblower cases filed with the SEC, CFTC and IRS. He frequently handles civil enforcement actions and regulatory investigations brought by the U.S. Securities and Exchange Commission (SEC), the Utah Division of Securities, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) involving individuals, brokers, brokerage firms and investment advisors. He also handles receivership litigation, clawback cases, Qui Tam or False Claims Act cases, shareholder disputes, investor class actions, and internal investigations involving private and publicly-traded companies.

Brian J. Robbins is a co-founder and the managing partner of Robbins LLP. He has committed his entire career to representing shareholders, employees, consumers, and small businesses in complex litigation. Mr. Robbins has prosecuted hundreds of cases across the country, often in leadership roles, and has achieved sizable monetary recoveries and corporate governance improvements on behalf of his clients.

Mr. Robbins’ achievements are proof positive that shareholder derivative actions are an important tool for keeping corporate management and fraud in check. His dedication to shareholder rights has helped propel Robbins LLP into a nationally recognized leader in shareholder rights litigation. As...

James P. Galvin is the founder of Galvin Legal. He is a member of the Florida Bar and the State Bar of Georgia. He graduated from Georgia State University in Atlanta, Georgia with a Bachelor of Business Administration degree in Finance. He obtained his Juris Doctor from the University of Miami School of Law in Coral Gables, Florida. At the University of Miami, he completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office. Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow,...

Ian M. Ross represents clients in business disputes, commercial and securities litigation, class actions, and government investigations. He previously practiced as a litigation shareholder in Greenberg Traurig, P.A.’s Miami office; before that, he worked in the financial and securities litigation group in Sidley Austin LLP’s Chicago office.

Ian has extensive experience defending public and private corporations, limited liability companies, partnerships, directors, and officers in federal securities claims, state securities actions, shareholder derivative suits, breach of fiduciary duty actions, and claims arising out of complex commercial transactions. He also defends national manufacturers, retailers, and telecommunication companies in consumer class actions,...

Philip Bartlett began his legal career with world prominent law firms in New York City, working with counsel on securities litigation and corporate financial disputes. During law school he interned with two prestigious securities litigators in the Miami area. At the present time, his law firm Bartlett Legal is focused on providing representation in the following areas: securities litigation, securities offerings, banking regulation, payment systems regulation, corporate law, and bankruptcy. For his clients, he has successfully completed Chapter 11 reorganization, managed securities offerings, organized business policies and procedures related to board decisions, litigated securities cases, and...

Joseph Moreno, a former federal prosecutor, is a partner in Cadwalader's White Collar Defense and Investigations Group. Dual qualified to practice in the United States and as a solicitor in England and Wales, Mr. Moreno has extensive litigation and crisis management experience handling complex matters involving the U.S. Department of Justice, the Securities and Exchange Commission, the U.S. Department of Defense, and other domestic and international regulators and law enforcement agencies. Representative matters have involved money laundering and terrorist financing, cybersecurity and data breach response, securities and accounting fraud, insider trading, the Foreign Corrupt Practices Act (FCPA), the UK Bribery...

Ethan White is a cum laude graduate of Northwestern University School of Law with more than a decade of pure litigation experience. Ethan’s practice focuses on counseling clients and litigating commercial and employment-related matters, with near daily courtroom experience in both state and federal courts. In addition, he frequently appears before the Equal Employment Opportunity Commission, the Illinois Department of Humans Rights, the Illinois Department of Labor, and various mediation forums. Ethan has tried cases in DuPage County, Cook County, and the Northern District of Illinois and has litigated matters in nearly every other county in the Chicagoland area.

In addition...

My current practice is focused on antitrust class action litigation, primarily in the pharmaceutical industry. I have broad litigation experience in antitrust, intellectual property, complex commercial disputes, criminal investigations and defense, and other complex commercial litigation matters, as well as deep FDA regulatory knowledge as it pertains to filing and maintaining applications for new drugs and their generic equivalents.

I have represented clients in numerous billion dollar antitrust disputes, as well as co-authored multiple successful appellate briefs before various federal appellate courts.

Additionally, I have represented clients who were under investigation or being prosecuted by the Department of Justice or...

Albert is a Partner at Scarinci Hollenbeck in the Entertainment, Sports, Media, and Intellectual Property practice group. Albert is also the founder of Beat Street Entertainment and Beat Street Music Group. Albert represents clients in a variety of practice areas, including entertainment, litigation, trademark, commercial transactions, licensing, and more. Albert has counseled a variety of notable clients, including NFL running back Brian Westbrook of the Philadelphia Eagles, hip-hop legend Havoc of Mobb Deep, DJ and producer DJ L.E.S., Rapper Big Noyd, hip-hop pioneer E-40, recording artist and winner of America’s Got Talent Bianca Ryan, singer Riley McEvoy,...

A native Rochesterian, Mark grew up in Penfield, New York. After attending Bishop Kearney High School, Mark pursued a bachelor's degree in political science at the University of Rochester. While attending the U of R, Mark competed nationally within the University Athletic Association conference for the school's indoor and outdoor Track and Field teams, where he was named the team's field captain for his leadership. In his junior year, Mark was accepted into an accelerated 3-2 program for the school's top ranked Public Policy Analysis Program. Mark's master's thesis was a well-received study on the effects of political action committee...

Carl G. Hawkins is the Managing Attorney of the Law Offices of Carl G. Hawkins, PLLC, which has offices in Jacksonville, Florida. Mr. Hawkins practices international and corporate transactional law, securities law, intellectual property law, employment law, lien law, and business law. He has worked extensively in worldwide protection of trademarks and copyrights where he has worked with the United States Patent and Trademark Office (USPTO), the World Intellectual Property Organization (WIPO), the European Intellectual Property Organization (EUIPO). He serves as corporate counsel for several publicly traded and privately organized companies. Mr. Hawkins has compiled a repertoire of documents he...

Gerry Goldsholle is a nationally known expert in insurance and insurance law who uses his decades of knowledge and industry "insider" experience to help his firm's clients stop being taken advantage of by insurance companies and others seeking to wrongfully delay or deny claims or pay pennies on the dollar.

An honors graduate of the College of William and Mary and the Columbia University School of Law, Gerry later completed the Senior Executive Program at Stanford University's Graduate School of Business and the coursework for a Masters of Liberal Arts at Stanford. He also served in the Army...

Before his career as an attorney, for 16 years Mr. Polenberg successfully pursued a business management career, which included his tenure as a regional manager for Cintas Corporation. Mr. Polenberg managed the region by recruiting, training, developing, and producing sales and profit, which provides Mr. Polenberg with insight to the business challenges facing today's companies. Using his business experience, Mr. Polenberg became a lawyer with the prestigious law firm of Weil Gotshal & Manges LLP, and then started his own firm in the summer of 2005, now known as Polenberg Cooper, P.A. As a result, Mr. Polenberg has civil litigation...

Kurt Kusiak is a graduate of Trinity College (B.A. Honors thesis in economics, 1984) and Boston University School of Law (J.D., magna cum laude, 1991) where he was a member of the Law Review, a Liacos Distinguished Scholar, and winner of the American Jurisprudence Award for excellence in trial advocacy. Following law school, Kurt was a law clerk for the Hon. A David Mazzone, U.S. District Court, District of Massachusetts. Kurt then worked as a trial lawyer for Ropes & Gray and Todd & Weld. Each year since 2004, Law & Politics has recognized Kurt as a Massachusetts Super Lawyer...

Patricia Payne - *Rated "AV Preeminent" by Martindale–Hubbell®™*

Patricia Payne received her B.A. from the University of Michigan,J.D. from the Georgetown University Law Center (serving as an Editor on the Journal for Law and Policy in International Business) and her MBA from Johns Hopkins University in 2004.

Ms. Payne heads the firm's practice and serves as outside general counsel to over 30 area businesses and non-profit organizations in the Washington Metropolitan area. Providing comprehensive representation in civil and commercial litigation matters, Ms. Payne also counsels and represents clients in transactional matters (including new business formation , finance and securities and transactional...

Michael J. Caywood began practicing law in 1991 and joined Dresser Dresser Haas & Caywood, PC in 1999. Prior to moving to Sturgis, Michael practiced in Phoenix at the law firm of Snell & Wilmer and in Chicago with Ungaretti & Harris and the Division of Enforcement for the United States Securities and Exchange Commission. While in Phoenix and Chicago, Michael's practice included complex commercial, medical products liability, intellectual property and securities litigation in both State and Federal Courts, as well as intricate technology transactional agreements. Michael has further developed his practice since joining Dresser Dresser Haas & Caywood, PC....

Vivek Tandon is the Founder and CEO of EB5 BRICS – the go to source for everything related to EB-5 U.S. Immigrant Investor Visa (Green Card) Program. A lawyer and an investment banker, Vivek’s primary focus is on educating investors in India, Mexico, Brazil and the Middle East about EB-5 Visa Program and EB-5 regional center projects and EB-5 direct investments. Vivek holds Financial Industry Regulatory Authority (FINRA) and U.S. Securities and Exchange Commission (SEC) securities licenses. EB5BRICS is associated with a registered broker-dealer NMS Capital Advisors, LLC – a Beverly Hills, California based global, privately held, independent, diversified financial...

Braeden Anderson is an associate in the Government, Regulatory and Internal Investigations Practice Group in the Washington, D.C., office of Kirkland & Ellis LLP. Braeden regularly assists with the representation of financial institutions, investment advisers, public companies and senior officers in connection with internal investigations, as well as the defense of investigations initiated by the Department of Justice (DOJ), U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Federal Bureau of Investigation (FBI), the New York State Attorney General (NYAG) and various other federal and state regulators. Braeden maintains an active pro bono practice, including representation of a...

Jack Blum is an associate in the firm’s Litigation and Employment Law practice groups. He has gained significant experience in a wide range of litigation matters, including real estate, commercial, corporate, and complex estates and trusts cases in both trials and appeals. He has represented large publicly and privately traded companies, individuals, real estate developers, medical practices, and small businesses. He has also worked with business owners on transactional work, forming business entities and drafting and reviewing contracts and other legal issues arising from ongoing and contemplated business transactions. In the area of employment law, Jack has worked with employers...

Mr. Rowan concentrates his practice in the areas of litigation and labor/employment law, primarily representing commercial and business clients. His litigation practice focuses the representation of business clients in both state and federal courts, including bankruptcy courts, in Maryland, Pennsylvania and the District of Columbia. His practice includes handling complex commercial and class action matters through all stages of litigation, including appeals. With regard to labor and employment law, Mr. Rowan focuses his practice on the representation of both public and private sector employers in union and nonunion environments. His experience includes litigation of employment discrimination actions (including Title VII and...

My primary motivation is to do right by my clients. My clients trust me with their livelihoods and, at times, with their freedoms. I take their trust seriously and strive to be the best advocate and counsel for them. I am analytical and steadfast in the way I handle a case. Clients usually come to us when they go through some of the most difficult times of their lives. Sometimes, they feel overwhelmed and scared. If I am overwhelmed and scared, they will not feel safe with me. I look at the facts; I look at the problems; and I immediately...

JD is an associate attorney at Cook Craig & Francuzenko, PLLC. JD joined Cook Craig & Francuzenko after previously working for Stern & Eisenberg. JD concentrates his practice on constitutional rights, civil rights, business, and commercial law. JDis licensed to practice law in the Commonwealth of Virginia and the District of Columbia. He is a member of the Virginia Bar Association, Fairfax Bar Association and the Virginia Trial Lawyers Association. JD appears primarily in the Ciricuit and General District courts of Northern Virginia. JD obtained his Bachelors of Science in Political Science from University of Maryland Global Campus, while living in the...

Prior to joining the Firm, Mr. Jonathan C. Gonzales worked at some of the nation's most prestigious law firms, where he gained substantial experience representing public and private companies, executives, officers, and directors in significant, high-stakes matters. That experience spans several areas of substantive law, including cases involving allegations of fraud, negligent misrepresentation, breach of fiduciary duty, deceptive and unfair trade practices, civil theft, conspiracy, and foreclosures. Mr. Gonzales has also worked in state and federal court a variety of complex disputes, including numerous class actions, shareholder derivative actions, and multidistrict litigations. In connection with these cases, he has also...

Mr. Lesser heads Thornton Law Firm’s False Claims Act / Qui Tam litigation section, representing whistleblowers that report fraud on the Federal and State governments. While practicing in traditional areas of False Claims litigation, including Medicare and Medicaid fraud, Mr. Lesser also handles litigation involving finance and bank fraud. In 2020 Mr. Lesser's client, an FX trader who worked for Bank of New York Mellon, was awarded the then largest individual SEC whistleblower award in the history of SEC whistleblower litigation. The client's almost $50 million dollar award was for providing original information to the Securities and...

I am an attorney practicing in Berlin, MD and on Chincoteague Island, VA. I am a licensed attorney (Maryland, Virginia, DC), certified fraud examiner (nationwide), and registered private investigator (Virginia). Before starting my own law practice, I was a National Park Ranger, a law clerk to a federal judge, a U.S. government prosecutor, and a criminal investigator. I completed my career as the Assistant Inspector General for the Securities and Exchange Commission. I hold a doctorate from the University of Florida, and a law degree from Syracuse University College of Law. Today, most of...

I founded The Lebrecht Group, APLC in February 2001. Currently, I assist various clients primarily in the areas of corporate finance and mergers and acquisitions, including private placements, public and private offerings, Securities and Exchange Commission and Blue Sky compliance and reporting requirements, asset and stock purchases, and general corporate practice.

Richard Ernsberger's practice focuses on litigation in state court on insurance and investment sales practice and contractual disputes. He has a broad range of experience, including drafting motions, conducting legal research and analysis, and arbitration practice. Richard is a graduate of the Ohio Northern School of Law and he earned a Bachelors of Science from the George Washington University in Economics. Richard was an intern for the Honorable Congressman William Coyne as an undergrad and was employed by the Federal Reserve Board in Washington, D.C. following graduation from George Washington. Richard attended the Ohio Northern University School of...

Ogoegbunam is a passionate visionary, who has a self-starter mindset. She is a highly proficient legal, contract and commercial manager with in-depth skills and experience in corporate finance, corporate governance, dispute resolution and conflict management. She is a multi-jurisdiction practicing Attorney; qualified to practice in Federal Republic of Nigeria and New York (United States of America). Ogo has a proven track record in negotiating and agreeing complex commercial contracts /transactions and achieving significant commercial results and was recently rewarded by the securities and exchange commission for her contribution to the capital markets in Nigeria.

Ms. Truong's practice focuses on all aspects of civil litigation and general business litigation.

Ms. Truong joined Perry, Johnson, Anderson, Miller & Moskowitz in October 2018. Prior to joining the firm, she worked as a litigation attorney at two Am Law 100 firms in New York, New York, where she practiced in the areas of complex and multidistrict commercial litigation, contract disputes, data/records management, E-Discovery, cross-border litigation (including the U.K, France, Israel), securities litigation, corporate internal investigations, governmental investigations (including Securities Exchange Commission investigations and antitrust investigations from the Department of Justice and Federal Trade Commission), bankruptcy litigation (as a member...

Lisa Bragança protects individuals and businesses from being bilked by Wall Street and bullied by regulators. She knows how to get important information to securities regulators early, before they have reached a decision on whether to charge and what to charge. Lisa served as a Branch Chief in the Division of Enforcement of the Chicago Office of the Securities & Exchange Commission, where she handled investigations of accounting fraud, Ponzi schemes, insider trading, churning, and unsuitability. While at the SEC, Lisa collaborated with the federal criminal prosecutors in securities fraud investigations at major corporations. Since leaving the SEC, Lisa has...

Mr. Freeman, a dual-credentialed attorney-CPA, author, law professor, and trial attorney, is the founding and managing member of Freeman Law, PLLC. He represents clients in litigation and disputes, with a particular focus on federal and state tax controversies, as well as white-collar and financial disputes, both civil and criminal. He also advises and assists clients with tax and regulatory compliance, including domestic and international tax and regulatory reporting requirements. Recent litigation experience includes serving as trial counsel in a criminal tax evasion and conspiracy jury trial in the Federal District Court for the United States Virgin Islands. In...

Junaid Ahmed, a dual qualified lawyer from United Kingdom (UK) as a Barrister and licensed to practice law in Pakistan. He serves as the Founder and Managing Partner of JA LEGAL. Under his leadership, a dedicated team of lawyers consistently delivers exceptional legal services to a diverse clientele. Mr. Ahmed’s extensive expertise is exemplified through regular appearances before the High Courts, District Courts, and various administrative tribunals, including the Anti-Dumping Appellate Tribunal at Islamabad, and the Appellate Bench of the Securities & Exchange Commission. His practice covers a wide spectrum of legal domains, including property and land disputes, service and...