Wilmette, IL
White collar crime Lawyer at Wilmette, IL
Practice Areas: White Collar Crime, Litigation, Securities & Investment Fraud
OUTCOME: Settled
Recovered substantial losses of attorney-investor on the cusp of retirement who was heavily invested in nontraded Real Estate Investment Trusts (REITs) and equity indexed annuities (a/k/a fixed indexed ... annuities) that were not suitable.
OUTCOME: Investigation closed with no charges
Successfully resolved SEC investigation into fees paid to numerous participants in real estate investment program
OUTCOME: Settled
Represented registered representative investigated by FINRA for obtaining PPP loans. Obtained favorable resolution via settlement.
OUTCOME: Settled
Represented registered representative in FINRA investigation into certain information they failed to disclose to employer. Obtained favorable resolution.
OUTCOME: No charges brought against clients
Represented individuals and businesses in responding to SEC subpoenas for documents and testimony; evaluated potential legal exposure of clients and responded to additional SEC inquiries; represented i ... ndividuals in providing on-the-record testimony to SEC.
OUTCOME: Either no charges brought against client or resolved via settlement
Represented numerous individuals under investigation for trading activity that government suspects is illegal insider trading. Responded to subpoenas and evaluated whether clients should provide on-the ... -record testimony.
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