REPRESENTATIVE EXPERIENCE
Neil’s extensive representative experience includes:
- Serving as counsel to the court-appointed Receiver over North American Clearing Inc., a major independent clearing broker. The receivership caused the distribution of more than $227 million in cash and securities to more than 11,000 customer accounts.
- Representing a public company and its senior officers in connection with SEC and Department of Justice (DOJ) investigations involving financial reporting and fair value accounting.
- Representing a significant small-business lender in connection with SEC, DOJ and United States Department of Agriculture (USDA) investigations of improper lending practices and financial reporting.
- Representing the Chairman and CEO of Scansource Inc. in connection with SEC investigations of stock option backdating and in related class action and shareholder derivative litigation.
- Conducting an internal investigation into allegations of improper revenue recognition and management integrity issues at the U.S. subsidiary of a multi-national corporation.
- Conducting an internal investigation into allegations of breach of fiduciary duty, insider trading and improper revenue recognition by senior corporate officers and board members of a multi-national software development company.
- Conducting an internal investigation for Immucor Inc. relating to unlawful payments to foreign officials under the Foreign Corrupt Practices Act (FCPA).
PROFESSIONAL HONORS AND AWARDS
- Named in The Best Lawyers in America in the areas of litigation – securities law and securities regulation (2008-2013)
- Selected for inclusion into Washington, D.C. Super Lawyers® (2012)
PROFESSIONAL AND COMMUNITY INVOLVEMENT
- Member, Executive Committee and the Advisory Board of the Institute for Financial Market Regulation at the State University of New York at Albany
- Former Adjunct Professor, Georgetown University Law School, teaching Professional Responsibilities in Corporate and Securities Matters
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
- Co-author, “Clawbacks: How Far Will the SEC Go to Recapture Executive Compensation?” Partnering Perspectives (Summer 2012)
- Co-author, “Vantage Viewpoints: Inside and Outside Counsel Answer Readers’ Questions,” Partnering Perspectives (Winter/Spring 2010)
- Co-author, “Securities Regulation in the United States,” International Securities Regulation, Binder 8, Booklet 1 (May 2009)
- Author, “Congress Passes the Sarbanes-Oxley Act of 2002,” Law and Business Review of the Americas, Volume 9, No. 2 (Winter 2003)
- Author, “Documentation, Supervision, and Suitability: The NASDR’s Mantra for Variable Products,” The Investment Lawyer, Vol. 8, No. 5 (May 2001)
- Author, “Earnings Management: Swept Away,” The Review of Securities & Commodities Regulation, Vol. 33, No. 11 (June 13, 2000)
- Speaker, “Hot Topics in Examinations and Enforcement for Private Investment Funds,” 2013 New York Series: Hot Topics in Private Investment Funds (May 21, 2013)
- Speaker, “CLO/CCO Liability as Supervisors” Seminar (June 10, 2011)
- Speaker, “Recent Changes in Enforcement Tactics,” Society of Corporate Secretaries and Governance Professionals Mid-Atlantic Chapter’s Fall Conference (September 21, 2009)
- Chair and Speaker, Counsel to Counsel Forum: Up, Down & Sideways: A Closer Look at Practically Managing Inside/Outside Counsel Relationships (April 1-2, 2009)
- Speaker, Sutherland Securities Symposium (October 30, 2008)
- Speaker, Subprime Litigation & Enforcement Conference (October 28-29, 2008)
- Speaker, FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape – Staying Ahead of the Curve (September 18-19, 2008)
- Speaker, Securities Regulation Committee CLE Seminar (December 6, 2006)
- Speaker, “To Thine Own Prospectus Be True,” Conference on Life Insurance Company Products: Current Securities, Tax, ERISA, and State Regulatory Issues, ALI-ABA (November 4-5, 2004)