Investigation and Trial of Private Equity Firm, Investment Adviser, and Broker-Dealer for New York Martin Act Violations

Led investigation and trial against private equity firm, investment adviser, and broker-dealer in connection with violations of New York’s Martin Act arising out of misrepresentations to investors, misappropriation of fund assets, valuation of portfolio assets, and conflicts of interest. Obtained finding of liability, permanent injunction, and nearly $8 million in restitution for defrauded investors after bench trial.