Curing Ambiguities and Defects Without Noteholder Vote: Not So Fast
Funds Talk: October 2016
Dani R. James represents executives, directors and officers, and other individuals, as well as companies, in sensitive, complicated and often high-profile criminal and regulatory trials, hearings, investigations and other proceedings conducted by federal and state agencies, including the U.S. Department of Justice, the Securities and Exchange Commission, the U.S. Attorney’s Office and the Manhattan District Attorney’s Office, among other agencies. A former federal prosecutor, Ms. James defends clients in a broad range of white collar criminal and regulatory matters, including allegations of insider trading, market manipulation, public corruption, bid-rigging, tax fraud and violations of the Foreign Corrupt Practices Act. In addition to criminal matters, Ms. James handles complex civil litigation on behalf of corporations, directors and officers, and others, representing them in securities class actions, shareholder derivative suits and civil racketeering cases, as well as complex business disputes. She also conducts corporate internal investigations and provides counsel to audit committees and special litigation committees on compliance matters. Ms. James’ most recent notable work involves representing a former senior executive of a multinational oil services firm in investigations by the Department of Justice and Securities and Exchange Commission of alleged violations of the Foreign Corrupt Practices Act. She also represents a managing director of a broker-dealer in an investigation of alleged mini-manipulation by the Financial Industry Regulatory Authority and the Chicago Board Options Exchange. From 1999 to 2003, Ms. James served as an Assistant U.S. Attorney in the Southern District of New York, representing the United States as lead counsel in a wide variety of federal criminal cases involving securities fraud, bank fraud, money laundering, international narcotics trafficking, racketeering and violent offenses, as well as appeals before the U.S. Court of Appeals for the Second Circuit. Prior to joining the firm in 2007, Ms. James served as assistant visiting professor at the Benjamin N. Cardozo School of Law, where she taught courses on criminal law and conducted extensive research on federal sentencing issues.