Regulatory Proceedings

Created, managed, and supervised the legal team at Bank One (later acquired by J.P. Morgan Chase) with responsibility for government and SRO investigations, principally involving broker-dealer, investment advisor, and corporate security clients. Team included two attorneys and paralegals.

Other regulatory representations involving the Partners of the firm include:

Comments to the US Environmental Protection Energy on behalf of Peabody Energy regarding proposed rules for EPA’s “Clean Power Plan.”

Comments to the US Environmental Protection Energy on behalf of biofuels companies regarding Proposed Standards for the Renewable Fuel Standard Program.

Assessed strengths and weaknesses of regulatory charges brought against casino operator and helped negotiate a sensible settlement using and based on that analysis.

One of the nation’s largest legal support services firms in a State Attorney General investigation arising out of allegations of fraud in the service of process business.

The National Cable & Telecommunications Association in connection with digital must-carry rules before the Federal Communications Commission (comments submitted to the FCC on July 16, 2007).

A leading international bank in civil litigation and regulatory proceedings in the U.S. and the U.K. relating to the collapse of the Bank of Credit and Commerce International (BCCI).

A financial services organization in an IRS challenge to the validity of a cross-border financing transaction under the "economic substance doctrine."

A leading European bank with respect to international regulatory compliance issues in connection with a project to build a worldwide electronic securities-trading platform for customers in Europe and the United States.

Pharmaceutical manufacturers in connection with regulatory approval proceedings before the Food & Drug Administration.

A major U.S. health insurer in connection with a constitutional analysis of state insurance rate regulation.