Pursuant to a Deferred Prosecution Agreement, conducted an historical transaction review of high-risk accounts for a global private bank (regulated by the Federal Reserve). Led the team which conducted a detailed review or “look back” of Latin American accounts and historical transaction activity to determine whether suspicious activity had been properly identified and reported in accordance with regulatory requirements.
Section 11 damages computation for direct listings
In September 2021, the Ninth Circuit ruled in Pirani v. Slack Technologies, Inc.[1] (Slack) that Section 11 liability applies to direct listing shares. This...