Representative Engagements: Regulatory Investigations and Proceedings

The following matters are representative of Eric Creizman’s versatile regulatory defense practice:

  • Represent hedge fund in SEC investigation into secondary market trading of pre-IPO shares of private companies.
  • Represent member of options trading firm in parallel DOJ and SEC investigations of alleged securities fraud.
  • Represent individual charged with securities fraud in connection with the public offering of small-cap securities.
  • Represent building inspector in investigation by New York City Department of Investigations for false statements on license renewal application.
  • Represent automobile repair and inspection shop on New York State regulatory charges for conducting fraudulent emissions inspections.
  • Represented financial institution in investigations by the Securities and Exchange Commission (SEC) and the New York Attorney General’s Office into possible manipulation of the credit default swaps market by short sellers.
  • Represented trader at financial institution in SEC investigation relating to valuations of collateralized debt obligations.
  • Represented trader at financial institution in Financial Industry Regulatory Authority (FINRA) investigation relating to the sharing of information between institution’s customer-facing and proprietary trading desks — persuaded FINRA not to prosecute client.
  • Represented public company in SEC investigation into its role in an accounting fraud — persuaded SEC not to prosecute client.
  • Represented public medical supplies company in parallel criminal and regulatory investigations.
  • Represented financial institution in FINRA investigation into allegedly “predatory” loans made by the institution to resorts — persuaded FINRA not to prosecute client.
  • Represented auditor in confidential trial proceedings before the Public Company Accounting Oversight Board (PCAOB).
  • Represented former REFCO executive in parallel criminal and SEC investigations.
  • Represented auditors in parallel criminal and SEC investigations relating to major accounting frauds.
  • Represented company in parallel investigations by the DOJ and the New Jersey Division of Gaming Enforcement relating to political corruption.