REPRESENTATIVE EXPERIENCE
Neil T. Smith
Represented a global construction company in SEC enforcement investigation involving potential
FCPA violations in China and other countries. Investigation concluded with no charges
recommended against our client.
Represented a publicly listed medical testing company in SEC enforcement investigation and
resolution involving disclosures related to the company’s Covid-19 testing product.
Represented a major international construction company in responding to FCPA and related
inquiries from the DOJ and SEC FCPA units in multiple countries. The investigation concluded
with no charges brought against our client.
Represent convertible noteholders in ongoing Delaware litigation, including trial in Delaware
Chancery Court, involving conversion rights and equity stake.
Represents a global broker-dealer in ongoing SEC enforcement sweep investigation regarding
off-channel messaging.
Represented a global pharmaceutical company in accounting investigation by the SEC involving
cross-border manufacturing and inventory systems.
Represent multiple individuals in ongoing DOJ and SEC accounting fraud investigation involving
revenue recognition and related issues.
Represented an asset management company in SEC enforcement investigation and proceeding
involving Rule 105 of Regulation M.
Currently represents an individual in ongoing, multiparty SEC enforcement action involving stock
manipulation.
Representation of a former employee in ongoing DOJ, SEC, and CFTC investigations involving
collapse of cryptocurrency exchange and trading fund.
Represent multiple individuals in ongoing DOJ and SEC accounting fraud investigation involving
revenue recognition and related issues.
Represented a global financial services client in responding to an SEC sweep investigation into
accounting and financial reporting issues.
Represented an individual in SEC-led cross-border accounting fraud investigation.
Represented multiple individuals in responding to government and internal investigations through
voluntary or subpoenaed testimony.
Represented a medical devices company in internal investigation involving foreign subsidiary.
Advised multiple international financial services, medical devices, pharmaceutical, and
construction clients on FCPA compliance and controls issues.
Represented an investment manager and its principals in an SEC investigation into possible
Advisers Act violations that resulted in settlement with the SEC.
Advised board members of investment fund regarding Advisers Act issues and SEC enforcement
actions.
Represented a public company in responding to state criminal investigation involving its
subsidiary and successor entity.
Advised a financial services client on anti-corruption, anti-graft, and anti-kickback
regulations in more than 15 countries.
SEC Experience
Led the SEC’s investigation in a landmark FCPA enforcement action against hedge fund and its
employees for extensive FCPA and Advisers Act violations relating to conduct in Africa.
Initiated and led the investigation and groundbreaking enforcement action against investment
bank for illegal hiring practices in Asia.
Developed and led industry sweeps involving financial services firms interacting with sovereign
wealth funds in high-risk jurisdictions.
Litigated against individuals and companies for violations relating to issuer fraud and investor
misrepresentations.
Collaborated extensively with US criminal authorities and regulatory agencies and foreign
authorities across multiple investigations.
Investigated and brought enforcement action against financial services firms for improper
marketing of CDOs during the financial crisis.
Commenced and directed industry-wide sweep of investment banks regarding referral hiring
practices and other conduct in Asia-Pacific region.
