REPRESENTATIVE EXPERIENCE
Neil T. Smith
Represented a global construction company in SEC enforcement investigation involving potential FCPA violations in China and other countries. Investigation concluded with no charges recommended against our client.
Represented a publicly listed medical testing company in SEC enforcement investigation and resolution involving disclosures related to the company’s Covid-19 testing product.
Represented a major international construction company in responding to FCPA and related inquiries from the DOJ and SEC FCPA units in multiple countries. The investigation concluded with no charges brought against our client.
Represent convertible noteholders in ongoing Delaware litigation, including trial in Delaware Chancery Court, involving conversion rights and equity stake.
Represents a global broker-dealer in ongoing SEC enforcement sweep investigation regarding off-channel messaging.
Represented a global pharmaceutical company in accounting investigation by the SEC involving cross-border manufacturing and inventory systems.
Represent multiple individuals in ongoing DOJ and SEC accounting fraud investigation involving revenue recognition and related issues.
Represented an asset management company in SEC enforcement investigation and proceeding involving Rule 105 of Regulation M.
Currently represents an individual in ongoing, multiparty SEC enforcement action involving stock manipulation.
Representation of a former employee in ongoing DOJ, SEC, and CFTC investigations involving collapse of cryptocurrency exchange and trading fund.
Represent multiple individuals in ongoing DOJ and SEC accounting fraud investigation involving revenue recognition and related issues.
Represented a global financial services client in responding to an SEC sweep investigation into accounting and financial reporting issues.
Represented an individual in SEC-led cross-border accounting fraud investigation.
Represented multiple individuals in responding to government and internal investigations through voluntary or subpoenaed testimony.
Represented a medical devices company in internal investigation involving foreign subsidiary.
Advised multiple international financial services, medical devices, pharmaceutical, and construction clients on FCPA compliance and controls issues.
Represented an investment manager and its principals in an SEC investigation into possible Advisers Act violations that resulted in settlement with the SEC.
Advised board members of investment fund regarding Advisers Act issues and SEC enforcement actions.
Represented a public company in responding to state criminal investigation involving its subsidiary and successor entity.
Advised a financial services client on anti-corruption, anti-graft, and anti-kickback regulations in more than 15 countries.
SEC Experience
Led the SEC’s investigation in a landmark FCPA enforcement action against hedge fund and its employees for extensive FCPA and Advisers Act violations relating to conduct in Africa.
Initiated and led the investigation and groundbreaking enforcement action against investment bank for illegal hiring practices in Asia.
Developed and led industry sweeps involving financial services firms interacting with sovereign wealth funds in high-risk jurisdictions.
Litigated against individuals and companies for violations relating to issuer fraud and investor misrepresentations.
Collaborated extensively with US criminal authorities and regulatory agencies and foreign authorities across multiple investigations.
Investigated and brought enforcement action against financial services firms for improper marketing of CDOs during the financial crisis.
Commenced and directed industry-wide sweep of investment banks regarding referral hiring practices and other conduct in Asia-Pacific region.
