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Regulatory and Investigations

Rooted in its expertise with complex transactions and litigation, the firm has frequently represented clients in regulatory matters and investigations.  Such matters generally involve questions of compliance with various regulations, including those relating to consumerprotection, securities issuance and trading, insurance reserves, and courtorders and compliance decrees.  Our clients 

have included creditors’ committees, state commissioners, law firms, registered representatives, and high-volume lenders. ​

  • North Carolina Insurance Companies in Rehabilitation (New York Supreme Court, S.D.N.Y., E.D.N.C.)  Represent interests of North Carolina Commissioner of Insurance in connection with receivership over multiple insurance companies previously operated by Greg Lindberg. Fended off numerous attempts by Lindberg and by third parties to strip insurance companies of assets. 


  • In re: Terrorist Attacks on September 11, 2001 (S.D.N.Y., 2d Cir.)  Represent plaintiff’s executive committee law firm in sprawling multi-district litigation in the Southern District of New York in connection with breach of protective order by long-time consultant. The protective order breach was the subject of a court investigation including discovery and a two-day evidentiary hearing. The procedural and substantive results of the magistrate judge’s investigation have been the subject of objections to the District Court and appeal to the Second Circuit.


  • Lawsky v. Condor Capital Corp. (S.D.N.Y., 2d Cir.)  Represent lender in first action brought by the New York Department of Financial Services pursuant to the Dodd-Frank Act, where lender was accused of failing to refund positive customer balances once a loan was paid off, and for failing to secure confidential customer information.  Further represent both the company and its owner in connection with the attempted liquidation of the company by the receiver, and the subsequent administration of the company’s remaining loan portfolio. 


  • In re Ming Dang (FINRA)  Represent registered representative in connection with investigation by self-regulatory agency.

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