Ms. Allen has a broad range of experience in complex commercial litigation matters, with a particular focus on CFTC and SEC investigations and enforcement actions, commodities and securities class actions, financial fraud litigation, government litigation and investigations and internal investigations. Ms. Allen’s recent representative matters include:
CFTC & SEC Investigation and Enforcement Actions:
- Defending major food and beverage companies against a CFTC enforcement action in federal court alleging commodity manipulation and anti-trust violations.
- Representing senior partner of a major accounting firm in an SEC insider trading investigation.
- Representing a broker dealer and investment advisor in an SEC investigation of an allegedly fraudulent investment scheme, which resulted in no changes against the clients.
- Defending an individual client in an SEC enforcement action related to allegedly fraudulent real-estate investment scheme.
Commodities & Securities Class Actions and Financial Fraud Litigation:
- Defending major food and beverage companies in a civil class action in federal court alleging commodity manipulation and anti-trust violations.
- Defending large grain merchandizer in a civil class action in federal court alleging commodity manipulation and anti-trust violations.
- Defending client in a civil class action in federal court against claims that the client aided and abetted a multi-billion dollar Ponzi scheme.
- Representing senior partner of major accounting firm in civil action in Delaware state court alleging insider trading and breach of partnership agreement.
- Representing senior executive in civil action in Delaware state court alleging fraud in connection with a multi-million dollar corporate purchase transaction.
- Obtaining dismissal of FINRA arbitration related to the client’s issuance of auction rate securities.
Government Litigation & Investigations:
- Investigating embezzlement on behalf of a Fortune 500 company and presenting findings to FBI and Department of Justice officials, which resulted in guilty plea of embezzling party and no adverse action against the client.
- Winning a new trial for a client in what was described as the largest tax shelter fraud prosecution in US history.
- Successfully resolving without litigation a Department of Justice investigation of a Fortune 500 company for alleged violations of the False Claims Act seeking over $1 billion in damages.
- Successfully representing client in an FBI investigation related to an alleged multi-million dollar illegal gambling ring, which resulted in no charges against the client.
- Successfully representing a client in IRS and FinCEN (Department of Treasury) investigations related to Bank Secrecy Act compliance, which resulted in no charges against the client.
- Investigating potential Foreign Corrupt Practices Act violations made by the South American subsidiary of a private investment firm.
- Investigating the submission of potentially false or misleading information to regulators by a Fortune 500 company.
- Investigating the leak of proprietary information related to a multi-million dollar corporate purchase transaction.
- Investigating alleged irregularities in the competitive bidding process for a multi-million dollar government contract.
- Investigating alleged misconduct by the Chief Executive Office of a government agency.