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Ellen is an experienced litigator handling every aspect of civil and criminal cases.  She focuses her practice on advising financial institutions, public and private companies, boards and executives in a variety of regulatory, criminal, internal and civil investigations and litigations. Additionally, she regularly handles arbitrations and mediations for a variety of clients. 

Ellen has represented clients in connection with investigations by the Department of Justice, the Securities and Exchange Commission, the Commodity Futures Trading Commission, State Attorney General Offices, State District Attorney Offices and other regulatory agencies. Notably, she also conducts internal investigations for her clients and represents individual executives and employees in connection with those investigations. 

Representing both individuals and corporations in securities class actions, shareholder derivative actions and pursuing and defending complex commercial matters, Ellen handles allegations of securities fraud, accounting fraud, mail and wire fraud, insider trading, market manipulation, and spoofing.

Representative Matters

  • Advising global investment bank that acted as underwriter for municipal bond offering related to underperforming bond, including investigating due diligence efforts and accuracy of offering materials and public disclosures.
  • Represented Lumber Liquidators in connection with DOJ and SEC cross-border investigation related to its public statements regarding the safety and compliance of its Chinese-made laminate flooring.
  • Represented a U.S. Treasuries trader in investigation by DOJ and SEC related to allegations of spoofing and manipulative trading. 
  • Conducted internal investigation for multibillion-dollar hedge fund related to potential insider trading and represented the firm in related investigation by the SEC.
  • Represented an ETF sponsor and registered investment advisor in an internal investigation related to alleged kickbacks and gratuities paid to individuals on the firm’s institutional trading desk. Represented the former Chief Financial Officer of Och Ziff Capital in a securities class action related to internal controls, accounting, and disclosure issues arising from an FCPA investigation.
  • Represented former CFO of business unit of a multinational conglomeration connection with SEC investigation related to revenue recognition and adequacy of disclosures in public filings.
  • Conducted internal investigation for private company related to importation of products from Vietnam, potential violations of the Enforce and Protect Act, and other related compliance issues.
  • Represented lead and syndicate underwriter in connection with over 300 coordinated securities class actions related to the dotcom IPOs, In re IPO Securities Litigation.

Publications

  • Co-author, "Health Providers Should Beware FCA Risks of COVID-19 Aid," Law360 (August 6, 2020)
  • Co-author, "Lessons from Michael Cohen v. United States: Criminal Defendants Should Not Be at the Mercy of Technology for Privilege Review," New York Law Journal (January 18, 2019)
  • Co-author, "New Risks for US Cos. Inadvertently Supporting North Korea," Law360 (July 24, 2018)
  • Co-author, "Corporate Mismanagement and Scienter in Securities Class Actions," Daily Journal (April 19, 2018)

Speeches & Events

  • Presenter, “Storming the Gatekeepers: Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2020,” Practising Law Institute, September 9, 2020
  • Presenter, "Lessons from 'Michael Cohen v. United States," Celesq, March 13, 2018
  • Presenter, "Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2018," Practising Law Institute,  September 5, 2018
  • Presenter, "Bridge-the-Gap: Professional Practice for Newly Admitted Attorneys 2018," Practising Law Institute, August 10, 2018

Admitted To Practice

  • New York
  • United States District Court, Eastern District of New York
  • United States District Court, Southern District of New York
  • Fifth Circuit Court of Appeal

Education

  • J.D., St. John's University School of Law, 2002, magna cum laude; Articles and Notes Editor, St. John’s Law Review
  • B.A., State University of New York at Stony Brook, 1999