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Weil, Gotshal & Manges LLP
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White Collar Defense & Investigations
Experience
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Canadian Imperial Bank of Commerce
Sassano v. CIBC World Markets Corp. (FINRA Arbitration)
Represented CIBC in a Financial Industry Regulatory Authority (FINRA) arbitration proceeding in which plaintiff, a former CIBC managing director, sought over $10 million in lost earnings and withheld brokerage commissions on various theories of breach of contract and tortious interference. A 12-day trial resulted in a favorable verdict for the client.
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Major healthcare companies
Broker Compensation Investigations
Conducted investigations for major healthcare companies relating to broker compensation arrangements.
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Major investment bank
SEC Investigation
Represented a major investment bank in an SEC investigation regarding the misuse of the squawk box, alleging brokers shared inside information transmitted over an intercom system with day traders.
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Medicis Pharmaceutical Corporation
FCPA Compliance
Weil’s Boston office is an integral provider of legal services for a leading pharmaceutical company. Weil does significant litigation, investigation, and compliance work for the company.
From a corporate compliance standpoint, we have prepared Foreign Corrupt Practices Act (FCPA) compliance policies and training programs for the company. The Boston office is revamping the company’s information management program, which includes drafting a new document retention policy.
During the past year, we have conducted critical internal investigations pertaining to a variety of sensitive employment matters.
Currently, Weil is representing the company in connection with a dispute between the company and another drug maker regarding the development of a novel drug compound. Weil attorneys have been working closely with the company’s science and legal teams with respect to complex legal and scientific issue in the drug development process
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Operations Supervisor at Major Bank
In the Matter of Certain Mutual Fund Trading Practices
Represented an operations supervisor at a major investment bank alleged to have facilitated the illegal market timing and late trading of mutual funds in connection with a joint investigation by the SEC and the New York Stock Exchange Division of Enforcement. Filed a successful “Wells” submission; the regulators declined to file any charges against our client.
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