Selected Matters from 1996 to the Present (as of July 2006)

Currently representing entities and individuals in connection with various insider trading investigations by the SEC, United States Attorney's Office, NYSE, and NASD.

Currently representing a former Chief Investment Officer of an investment adviser to a mutual fund family in an investigation by the New York State Attorney General's Office involving "market timing" of mutual funds.

Currently representing a broker-dealer and securities analyst in an appeal of an NASD Hearing Panel Decision involving violations of the analyst disclosure rules.

Currently representing a portfolio manager to a sub-adviser of a mutual fund in connection with an SEC investigation involving inadequate disclosure to investors in regulatory filings.

Currently representing a commodity futures commission merchant in an appeal of a federal district court dismissal of a suit against a commodity exchange for damages related to manipulation of index options.

Currently representing investment adviser to hedge funds in SEC investigation concerning "market timing" and "late trading" of mutual funds.

Served as the SEC-appointed Fair Funds Plan Administrator in charge of monitoring the distribution of $50,000,000 to mutual fund investors pursuant to a settlement of an enforcement action with a broker-dealer.

Served as designated Independent Consultant for an NYSE specialist firm pursuant to SEC and NYSE disciplinary settlements involving improper handling of customer order flow on the floor of the NYSE.

Represented an investment adviser in mutual fund market-timing and late-trading class actions and derivative suits.

Represented a securities analyst in an NYSE disciplinary proceeding involving improper disclosure to institutional customers of an impending stock rating downgrade.

Represented affiliated inter-dealer bond brokers and their parent company against "group boycott conspiracy" antitrust claims brought by a fledgling electronic bond trading system.

Represented broker-dealer in arbitration proceeding involving alleged violation of non-solicitation agreements and theft of trade secrets by financial consultants.

Represent financial consultants in arbitration proceedings involving alleged violation of non-solicitation agreements and theft of trade secrets by financial consultants.

Represent hedge fund trader in connection with Chicago Stock Exchange and NASD arbitration proceedings concerning multimillion dollar trade dispute.

Represented owner of public relations company in SEC cease-and-desist proceeding involving allegations of touting stock on an internet chat room without disclosure of compensation from the issuer).

Represented bond broker in NASD arbitration industry dispute concerning losses caused by failed "free-riding" scheme.

Represented two stockbrokers in NASD disciplinary proceeding involving allegations of pre-selling the aftermarket of an initial public offering and other fraud.

Represented investment adviser in SEC administrative proceeding alleging fraudulent performance claims.

Represented stock trader in SEC administrative proceeding involving stock manipulation.

Represented stock specialist at AMEX disciplinary proceedings involving allegations of improper trading.

Represented government bond salesman in SEC injunctive action involving allegations of excessive markups and kickbacks.

Represented public pharmaceutical company in SEC investigation concerning filing disclosure and accounting fraud.

Represented public nutritional health company in SEC and grand jury investigations concerning stock manipulation and disclosure fraud.

Represented private food company in SEC investigation concerning a public company's accounting and disclosure fraud.

Represented broker-dealer clearing firm in SEC investigation concerning bank stock conversion fraud.

Represented broker-dealer market-making firm in NASD investigation concerning "backing away" from published quotes.

Represented broker-dealer clearing firm in NASD investigation concerning trade reporting violations.

Represented bond broker in NASD investigation concerning "free-riding," stock manipulation, and forgery.

Represented penny stock promoters in SEC investigation concerning stock manipulation, distribution of unregistered securities, and sales practice fraud.

Represented private investor in SEC investigation concerning stock manipulation.

Represented accountant in SEC investigation concerning hedge fund disclosure fraud.

Represented hedge fund manager in NASD investigation concerning improper participation in a "hot issue" stock offering.

Represented stock specialist in AMEX investigation concerning improper handling of customer order flow.

Represented investment banker in NASD investigation concerning possible violations of NASD prohibitions against unauthorized outside business activities and private securities transactions.

Represented numerous stockbrokers in numerous NASD investigations concerning possible violations of NASD prohibitions against unauthorized outside business activities and private securities.

Represented broker-dealer in state agency investigation concerning sale of unregistered securities by unregistered agents.

Represented stockbrokers in NYSE, NASD, and CBOE investigations into unsuitable options trading strategies.

Represented numerous broker-dealers and their registered representatives in various SEC, NASD, and NYSE investigations concerning sales practice fraud against brokerage customers, including unauthorized trading, unsuitability, churning, and misrepresentations concerning investments.