Bob represents individuals and companies in SEC and FINRA enforcement investigations and proceedings. These matters have involved: insider trading allegations against directors, lawyers, and traders involving equities, options, credit default swaps, and distressed debt securities; accounting fraud issues arising from earnings reports, reserves concerning mortgage loans and securities, and cash flow disclosures; alleged violations of financial industry regulations, including broker-dealer and investment advisor registration requirements, improper mark-ups of securities, and research analyst disclosures; and alleged misrepresentations in the sale of securities.

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Audit committees of public companies have retained Bob to lead internal investigations mandated by outside auditors and to report the findings of such investigations to the SEC. On the flip side, Bob also regularly represents company employees in connection with internal investigations.

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At the request of the SEC, Bob has been appointed by Federal courts to serve as a Receiver and Monitor in SEC enforcement actions. In SEC v. Morgan, a more than 100% return of more than $60 million in principal was distributed to the investors in the private real estate limited partnerships and ventures that were the subject of the SEC enforcement action.

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Bob’s practice includes representation of plaintiffs and defendants in Federal and state court actions and arbitrations concerning investment partnerships, complex financial products, alleged breach of fiduciary duties, contract claims, and fraud complaints.

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From 1994 to 2003, Bob served as a member of the SEC’s Division of Enforcement in New York. In various supervisory positions at the SEC, he directed investigations concerning accounting fraud, insider trading, market manipulation, offering fraud, and investment company/investment advisor act violations.

 

Two of those investigations arose out of an FBI sting operation (Operation Thorcon) and an FBI undercover organized crime-related investigation (Operation Uptick), both of which concerned corrupt brokers, boiler rooms, illegal issuance of publicly traded securities and persons who aided and abetted criminal activities. He also served as lead trial counsel for the SEC in contested litigations, including two insider trading jury trials.

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While at the SEC, Bob received the Stanley Sporkin Award, the Division of Enforcement’s highest honor, for “exceptionally tenacious and insightful contributions” to the Enforcement program.

 

Education: 

• Georgetown University Law Center, J.D.
  Member, Georgetown Law Journal

• The George Washington University, B.A. History.

 

Admitted to practice law in the State of New York as well as Federal Circuit Courts of Appeal and District Courts.