- Represented numerous broker-dealers in FINRA arbitrations of claims that the broker-dealers violated the KYC rule and federal AML laws.
- Represented a U.S. bank and its board in an investigation by the DOJ involving issues of compliance with OFAC regulations.
- Trained executives and officers of several financial institutions, including a domestic bank, in OFAC, BSA, and AML compliance.
- Represented a major bank in its investment in a data sciences company, including due diligence into AML risks and other financial services regulatory concerns.
- Represented family members of a Malaysian financier in claims for the recovery of assets in connection with the $3.5 billion money-laundering case involving the film “The Wolf of Wall Street.”
- Conducted an internal investigation on behalf of an international construction consulting and engineering design firm into allegations of bribery, money laundering, and terrorism financing across North America, Africa, and the Middle East. The firm also advised the company on the development of its compliance function.
- Represented a real estate development company in a federal investigation into allegations of bribery, extortion, money laundering, and other crimes relating to foreign investment in major development projects in downtown Los Angeles.
- Represented a client in multiple misconduct investigations regarding customer due diligence and beneficial ownership rule compliance.
- Advised clients on controls and improvements to monitoring for compliance with beneficial ownership and customer due diligence requirements.
- Represented a bank involving a money laundering ring’s use of shell companies to obtain cashier’s checks and digital assets in furtherance of the scheme.
- Represented an SEC receiver investigating a European bank and related payment processors who laundered assets through digital wallets and traditional correspondent banks around the world in furtherance of the theft of $15 million in receivership property.
- Represented a national bank in a matter involving a Palm Beach-based Ponzi scheme’s use of business bank accounts in furtherance of the fraud scheme, where beneficial ownership was obscured by falsified documents and shell corporations.
Articles + Publications
Recent SEC AML Enforcement Actions’ Impact on Compliance Efforts in the Cannabis Sector
June 11, 2025