Managing responses to SEC and CFTC inquires directed to several clients relating to compliance with statutory obligations regarding whistleblower protections, such as Rule 21F-17.
Responding to FINRA and SEC insider trading inquiries directed to investment banks, venture capital firm and public companies, specifically focused on life sciences investments.
Managing the response to SEC inquiries related to public disclosures made by a leading healthcare company while coordinating with colleagues regarding active civil litigation and parallel investigations by multiple federal regulators relating to the same conduct.
Responding to FINRA enforcement inquiries directed to a major alternative asset manager.
Addressing a non-profit organization’s response to Congressional inquiries related to topical political concerns regarding Supreme Court ethics.