REPRESENTATIVE EXPERIENCE
Meghan E. Flinn
REGULATORY INVESTIGATIONS AND ENFORCEMENT MATTERS
Represented a major international and publicly-traded construction company in responding to FCPA and related inquiries from the DOJ and SEC FCPA Units.
Advised a mortgage lender in a False Claims Act investigation brought by the DOJ and the Department of Housing and Urban Development (“HUD”) concerning the origination of FHA loans under the Direct Endorsement Lending program.
Represented an oil and gas company in responding to a grand jury subpoena relating to a potential bribery scheme.
Defended a sales supervisor at a large broker-dealer in an investigation brought by the SEC’s Public Finance Abuse Unit, resulting in the declination of an enforcement action.
Assisted a large bank in responding to a CFPB investigation and civil investigative demands arising from a mortgage servicing examination.
Advised an investment adviser in responding to a subpoena issued by the Investor Protection Bureau of the Office of the New York Attorney General relating to mutual fund disclosures.
Defended an attorney in an SEC investigation of potential secondary fraud liability, resulting in the declination of an enforcement action.
Defended an investor relations professional at a technology company in an SEC investigation of a potential Regulation FD violation, resulting in the declination of an enforcement action.
Defended a registered representative in a FINRA investigation and subsequent litigation involving allegations relating to certain outside business activities and private securities transactions.
Defended an individual in an SEC enforcement proceeding filed in federal court asserting claims of aiding-and-abetting securities fraud in connection with the artificial inflation of the price of securities and the sale of unregistered securities.
Represented a large dually-registered broker-dealer and investment adviser in a FINRA investigation concerning customer disclosures and supervisory procedures relating to alternative investments.
Represented numerous investment firms in responding to state regulatory inquiries concerning a variety of issues including environmental social governance (ESG) matters and fee arrangements.
INTERNAL INVESTIGATION MATTERS
Assisted an international energy company in conducting an internal investigation of alleged employee misconduct arising from a whistleblower report.
Conducted an internal investigation for an investment adviser relating to certain portfolio management policies, procedures, and practices.
Assisted a technology client with an internal investigation concerning information security practices.
Led an internal investigation of potential employee misconduct for a local non-profit organization.
Conducted an internal investigation regarding allegations of financial fraud, conflicts of interest, violations of environmental laws, and retaliation involving a utility company.
Represented the audit committee of a publicly traded company in conducting an internal investigation into accounting and revenue reporting and related internal controls matters.
LITIGATION MATTERS
Obtained summary judgment on behalf of a mutual fund provider in a lawsuit brought in federal district court alleging excessive advisory fees under Section 36(b) of the Investment Company Act and defended the client in the appeal of the dismissal, which was affirmed by the Second Circuit.
Represented a national bank in an FHA lawsuit filed by county governments challenging mortgage loan origination, servicing, and foreclosure practices.
Represented a dually-registered broker-dealer and investment adviser in an investor class action and FINRA arbitrations brought by customers alleging claims relating to product due diligence and suitability review, including an arbitration matter that was dismissed in full following a multiple-day hearing.
Defended a Chinese manufacturing company in an investor class action filed in federal district court asserting claims relating to alleged stock price manipulation.
Successfully obtained dismissal of a breach of contract claim on behalf of a global manufacturer at the pleadings stage in federal district court and on appeal before the Fourth Circuit.
Defended a wealth management firm in a lawsuit brought by the court-appointed receiver to a receivership organized as part of an SEC enforcement action.
Pursued a habeas petition at the federal district and appellate level on behalf of a client relating to the constitutionality of his criminal conviction as a juvenile.
