Representative Matters

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Client: Broker/Dealer
Lead trial counsel in the representation of a broker/dealer that underwrote the issuance of securities issued by Citi-Equity Group in connection with the development of low income housing.

The promoter Gary Lefkowitz was the first person convicted and sentenced under the so-called federal kingpin statute, and received a thirty year jail sentence. The broker/dealer and its associated persons avoided criminal prosecution, regulatory sanctions and settled the civil matters for less than one cent on the dollar.

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