Sullivan
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Biography

  • Defended an international power company in a grand jury investigation led by the DOJ into potential violations of the Foreign Corrupt Practices Act. Conducted internal investigation at client sites in the United States.
  • Defended an international power company in a construction arbitration. After a two-week hearing, a three-judge AAA Panel awarded the power company approximately $4.5 million in damages based on various counterclaims. The Virginia Supreme Court affirmed the arbitration award.
  • Defended an airline executive who avoided criminal charges in a DOJ antitrust investigation involving price-fixing in the air cargo industry.
  • Defended a broker-dealer officer who avoided civil and potential criminal charges in an SEC investigation involving market timing and other financial irregularities in the securities industry.
  • Defended two brokers who avoided civil and potential criminal charges in an SEC investigation involving insider trading and other allegations of fraud and manipulation involving open and closed-end funds.
  • Defended a broker-dealer and the broker-in-charge in a securities arbitration. After a two-week arbitration hearing, a three-judge NASD Arbitration Panel dismissed all claims with prejudice against the broker-dealer and the broker-in-charge. Claimants, beneficiaries of three separate trusts, filed suit alleging breach of contract, negligence, failure to supervise, suitability, breach of fiduciary duty, and misrepresentations and omissions. Claimants sought $6 million in actual damages and an unspecified amount of punitive damages. The NASD Panel awarded Claimants no damages.
  • Defended a broker-dealer in a FINRA arbitration filed by claimants who alleged claims of failure to supervise and respondeat superior based upon an independent broker's involvement in real estate transactions.
  • Defended a broker in a FINRA Enforcement investigation involving the negotiation and sale of residential mortgage backed securities to institutional investors.
  • Assisted company with an internal investigation involving allegations of embezzlement and potential consequences for employee involved in fraudulent conduct.
  • Represented a public company in responding to a FINRA Enforcement inquiry involving potential insider trading activity.
  • Defended a broker-dealer in a FINRA Enforcement investigation regarding mutual fund share class suitability.
  • Defended a broker in a FINRA Enforcement investigation involving allegations that the broker failed to disclose tax liens in accordance with FINRA rules.
  • Defended a broker-dealer in a FINRA Enforcement investigation regarding anti-money laundering policies and procedures.

Matters

  • Defended an international power company in a grand jury investigation led by the DOJ into potential violations of the Foreign Corrupt Practices Act. Conducted internal investigation at client sites in the United States.
  • Defended an international power company in a construction arbitration. After a two-week hearing, a three-judge AAA Panel awarded the power company approximately $4.5 million in damages based on various counterclaims. The Virginia Supreme Court affirmed the arbitration award.
  • Defended an airline executive who avoided criminal charges in a DOJ antitrust investigation involving price-fixing in the air cargo industry.
  • Defended a broker-dealer officer who avoided civil and potential criminal charges in an SEC investigation involving market timing and other financial irregularities in the securities industry.
  • Defended two brokers who avoided civil and potential criminal charges in an SEC investigation involving insider trading and other allegations of fraud and manipulation involving open and closed-end funds.
  • Defended a broker-dealer and the broker-in-charge in a securities arbitration. After a two-week arbitration hearing, a three-judge NASD Arbitration Panel dismissed all claims with prejudice against the broker-dealer and the broker-in-charge. Claimants, beneficiaries of three separate trusts, filed suit alleging breach of contract, negligence, failure to supervise, suitability, breach of fiduciary duty, and misrepresentations and omissions. Claimants sought $6 million in actual damages and an unspecified amount of punitive damages. The NASD Panel awarded Claimants no damages.
  • Defended a broker-dealer in a FINRA arbitration filed by claimants who alleged claims of failure to supervise and respondeat superior based upon an independent broker's involvement in real estate transactions.
  • Defended a broker in a FINRA Enforcement investigation involving the negotiation and sale of residential mortgage backed securities to institutional investors.
  • Assisted company with an internal investigation involving allegations of embezzlement and potential consequences for employee involved in fraudulent conduct.
  • Represented a public company in responding to a FINRA Enforcement inquiry involving potential insider trading activity.
  • Defended a broker-dealer in a FINRA Enforcement investigation regarding mutual fund share class suitability.
  • Defended a broker in a FINRA Enforcement investigation involving allegations that the broker failed to disclose tax liens in accordance with FINRA rules.
  • Defended a broker-dealer in a FINRA Enforcement investigation regarding anti-money laundering policies and procedures.