The Firm has extensive experience trying cases in federal and state courts andrepresents clients in administrative hearings and private arbitrations.
Our experience and lean trial teams achieve excellent results. Among the Firm’s recent trials to verdict are:
United States v. Smith (N.D. Ill.), Represented Jeffrey Ruffo, where the indictment alleged principally conspiracy, fraud and spoofing charges with respect to certain precious metals trading. After a month-long trial, our client was acquitted in full.
United States v. Shapiro (D. Conn), Represented lead defendant, Ross Shapiro, in a six-week federal court jury trial on an indictment charging conspiracy, securities fraud and wire fraud in connection with certain non-agency RMBS trading in the secondary market. Our client was acquitted on eight counts of securities and wire fraud. The jury did not reach a verdict on a conspiracy count, and the government and our client entered into a one-year deferred prosecution agreement concerning this count; when the agreement expires, the count will be dismissed.
SEC v. Duka (SEC), in which our client, a former managing director of Standard & Poors who oversaw commercial loan-backed mortgage securities ratings, was accused of fraud and multiple additional controls and negligence charges relating to eight ratings reports and analyses. Following a multi-week trial before an SEC Administrative Law Judge, our client was found not liable on the fraud charges and all but one of the negligence-based charges. Although the SEC had sought a substantial fine and an industry bar, the Court rejected the government’s application, declining to impose any suspension or bar and ordering only a $5,000 fine.
United States v. Middendorf (S.D.N.Y. ), in which our client was charged in a novel prosecution with conspiracy and fraud related to his firm’s internal preparation for audit inspections conducted by the Public Company Accounting Oversight Board, and to his meetings with the Securities and Exchange Commission. Following an acquittal on the SEC-related charges, we are currently pursuing the client’s appeal concerning the PCAOB-related charges.
United States v. Gehring (D.N.J.), in which our client was charged with Sherman Act antitrust conspiracy in connection with municipal tax lien auctions, and the government dismissed the charge the day before jury selection.
People of New York v. Chlupsa (NY County), in which the Firm’s client faced allegations of bribery of a New York City Department of Environmental Protection employee. Following post-trial proceedings, the District Attorney’s Office dropped all charges.
United States v. Kaufman (S.D.N.Y.), in which our client, the former CEO of a credit union, was acquitted of one count of bribery conspiracy and two counts of bribery, and was convicted of accepting two gratuities, which are the subject of appeal.