John M. Fedders - Securities Law - Washington D.C. - New York

Resolved S.E.C. and CFTC enforcement actions alleging fraud, insider trading, disclosure violations and pump-and-dump schemes.
Successfully rebutted an S.E.C. emergency injunctive action in federal court against an investment company charged with ’33 Act, ’34 Act and ’40 Act violations involving the issuance of securities, and involving prospectus and market disclosures.
Represented individuals in parallel civil and criminal investigations regarding mutli-million dollar ponzi schemes.
Represented an individual in criminal and CFTC proceedings alleging false reporting of energy trading.
Represented the audit committee of a multi-billion dollar corporation, and conducted an internal investigation of alleged accounting and disclosure irregularities.
Represented the Chief Executive Officer of a public company who was alleged to have executed a Sarbanes – Oxley certification while knowing of weak internal controls and a cooking-the-books scheme.
Represented an international accounting firm during an inquiry relating to its independence at the time it issued an audit opinion.
Represent a foreign currency trading platform in its CFTC, NFA and customer inquiries and disputes.
Conducted an internal investigation for an energy trading firm to determine its compliance with regulatory requirements imposed by the CFTC and FERC.
Represent a mid-size New York City based securities brokerage firm in regulatory investigations and civil litigation.
Represented a customer who owed over $4 million to his broker, and successfully asserted counterclaims freeing the customer of liability.
Represented brokers in regulatory investigations relating to alleged violations of FINRA professional standards.
Represented an attorney who issued alleged bogus Rule 504 opinions in connection with the reactivation of dormant shell companies in a pump-and-dump scheme.
Represented several prominent attorneys in S.E.C. actions alleging insider trading.
Represented individuals in parallel civil and criminal investigations regarding an alleged internet pump-and-dump scam in the securities markets.