Tami Stark

Criminal/Regulatory Matters

Representing the Special Committee of the Board of Directors of a China-based U.S. listed company in connection with an SEC investigation of accounting fraud.

Representing U.K.-based U.S. listed company in SEC investigation relating to de-SPAC transaction.

Represented FINTECH company in state regulatory investigation of offer and sale of cryptocurrency lending product. No charges were brought.

Representing former officers of a SPAC in connection with an SEC investigation of allegedly false projections in connection with SPAC's business combination.

Represented public company in connection with SEC investigation of executive compensation and related party transaction disclosures. Negotiated favorable settlement with SEC.

Representing SPAC in connection with SEC investigation of potential insider trading ahead of announcement of business combination.

Representing CEO of Canadian-based U.S. listed company in connection with SEC investigation and litigation relating to potential offering fraud and market manipulation by former investors.

Represented a major rental car company in connection with an SEC investigation of pandemic related disclosure failures. The SEC sent a letter stating they were closing the investigation.

Represented a cryptocurrency exchange and issuer in connection with an SEC investigation. No charges have been brought against the company.

Represented officers of a SPAC in connection with an SEC investigation of allegedly false projections disclosed during the SPAC's business combination with a lidar company. No charges have been brought against the officers.

Represented an energy technology company in an insider trading investigation conducted by the SEC. No charges were brought against the company.

Represented a major private equity firm and an acquiree in connection with an SEC financial fraud investigation. Convinced the SEC to close the investigation without a document production or interviewing witnesses.

Represented the Special Committee of the Board of Directors of a public company in connection with an internal investigation of related party transactions.

Represented the CEO of an investment management data analytics company in an investment adviser conflicts of interest investigation conducted by the SEC. No charges have been brought against the client.

Represented the Chief Executive Officer of a major institutional hedge fund manager in connection with an investment adviser fraud investigation by the SEC. No charges were brought against the client.

Represented Chief Financial Officer of an Asia Pacific subsidiary of a large marketing company in connection with an FCPA investigation conducted by the DOJ and SEC. No criminal or civil charges were brought against the client.

Represented the Global Chief Compliance Officer of one of the world's largest business applications companies in connection with an FCPA investigation conducted by the DOJ and the SEC. No criminal or civil charges were brought against the client.

Represented CEO of Asia/Pacific affiliate of a multinational wire and cable solutions corporation in an FCPA investigation by DOJ and the SEC. No criminal or civil charges were brought against the client.

Represented Controller of public company in parallel SEC/DOJ investigations of financial/accounting fraud at the company. Although the company, its CFO and other employees were charged by the SEC and/or DOJ, no criminal or civil charges were brought against client.

Represented Head of Risk of global bank in SEC investigation of money laundering. The client was not charged.

Represented CFO of oil and gas company in parallel criminal and SEC insider trading investigations. No charges were brought against the client.

Represented the Chief Accounting Officer of a publicly traded Real Estate Investment Trust in an SEC investigation of conflicts of interest. The client and the REIT were not charged.

Represented over 40 employees of one of the nation's leading drugstore chains in a grand jury investigation of pseudoephedrine sales practices. None of the employees were charged.

Represented over 10 employees of a freight forwarding company in a defense contract fraud investigation by the Department of Defense and DOJ. None of the employees were charged.

Monitorships

Led Monitorship team for large not-for-profit organization whose previous CEO was convicted of kickback scheme in high profile prosecution brought by the New York Attorney General's Office. Reported to multiple New York State and New York City agencies for over four years. During that time, Tami helped the organization: improve Board Governance; install new executive staff leadership with financial, compliance and governance experience; strengthen compliance by drafting new policies and conducting new trainings; enhance financial controls; and streamline and strengthen the financial statement and budget processes.

Spearheaded three-year Auditorship of a pharmaceutical corporation subject to investigation by New York State Attorney General over its opioid marketing practices. Responsible for monitoring company's compliance with agreement with Attorney General resolving investigation, as well as ongoing practices and procedures.