Enforcement & Litigation Support

Independent compliance consultancies and court-appointed monitorships

  • Regularly serve as independent consultants or monitors in regulatory settlements
  • Review and recommend improvements to supervisory, compliance, and operational policies, procedures, and controls

Litigation support and expert witness testimony

  • Assist counsel in legal, regulatory, and transactional issues
  • Provide expert testimony in trials, arbitration proceedings, and investigations
  • Collaborate with counsel to develop litigation strategy
  • Assist counsel with preparation for depositions and enforcement interviews
  • Advise corporate officers in preparation for and delivery of Congressional and regulatory agency testimony

Crisis management

  • Provide strategic and public communications advice to manage unexpected events that pose legal, regulatory, and reputational concerns
  • Develop strategies to integrate and coordinate legal, public affairs, government affairs, and communications resources

Representative Engagements

  • Served as court-appointed monitor for global commercial and investment banks regarding CFTC, SEC, Federal Reserve, FINRA, and DOJ issues
  • Examined and recommended, as an independent monitor subject to a CFTC and New York Attorney General settlement agreement, enhancements to a large bank’s futures commission merchant for its trade surveillance framework
  • Performed independent compliance consultancies for broker-dealers, clearinghouses, hedge funds, private equity funds, and investment advisors
  • Served as independent compliance consultant during pending CFTC, SEC, and Federal Reserve actions pursuant to terms of engagement negotiated between regulators and respondents
  • In connection with a joint Federal Reserve and CFTC action, conducted an independent review of governance, policies, and procedures for the board of directors of a systemically important financial institution
  • Conducted an independent review for a large private equity fund at the request of institutional investors regarding conflicts of interest, valuation issues, and cybersecurity
  • Pursuant to FINRA actions, served as independent compliance consultant for broker-dealers regarding compliance with blue sheets and TRACE reporting rules
  • Provided written and oral testimony before U.S. and foreign courts and regulatory bodies on behalf of commercial banks, investment advisors, broker-dealers, public companies, and professional firms
  • Served as expert witness in high profile securities fraud cases
  • Delivered expert testimony regarding the materiality standard under federal securities laws and the design and implementation of corporate disclosure processes and internal controls
  • Served as expert witness in cases related to the role of directors during IPOs
  • Provided expert testimony regarding inconsistent statements of an adverse party to a proposed merger before the Directorate General for Competition of the European Commission
  • Assisted in the preparation of a letter to the CFTC Division of Enforcement regarding the definition of “actual delivery” under the Actual Delivery Exemption
  • Provided testimony to the SEC and PCAOB on issues regarding relations with the Chinese Securities Regulatory Commission