Significant Matters Mr. Klein Handled As A Federal Prosecutor

The Galleon Investigation and Prosecution: Co-lead counsel in the investigation and prosecution of the largest insider trading case in decades.

United States v. Alberto Vilar and Gary Tanaka, 05 Cr. 621 (RJS): Co-lead counsel in the prosecution and trial of the former owners of the Amerindo Investment Advisers fund, at one time a firm with $8 billion under management. Both defendants were convicted on conspiracy, securities and wire fraud charges.

United States v. Hafiz Naseem, 07 Cr. 610 (RPP): Lead counsel in the investigation, prosecution and trial of a former investment banker who was convicted of insider trading charges relating to several merger transactions.

United States v. George Balis, 03 Cr. 1028 (GEL): Co-lead counsel in the prosecution and trial of the former CEO of Millenium Direct, Inc., who was convicted of securities fraud, mail fraud and wire fraud.

United States v. Frank Skelly and Craig Gross, 02 Cr. 986 (RMB): Co-lead counsel in the prosecution and trial of the co-owners and managers of a brokerage firm, who were convicted of securities fraud charges related to the manipulation and fraudulent offer and sale of various "house" stocks that caused losses to investors in excess of $100 million.

United States v. Morris Weissman, 01 Cr. 529 (BSJ): Co-counsel in the investigation, prosecution and trial of the former CEO and Chairman of the Board of American Banknote Company, a security printing company, and American Banknote Holographics, Inc., a hologram manufacturer, who was convicted of participating in an accounting scheme that resulted in a fraudulent initial public offering.

United States v. Gregg Becker, Gary Guirand, and Patrick Boyce, 01 Cr. 156 (RPP): Co-lead counsel in the investigation and prosecution of two dozen former brokers who fraudulently sold stocks to investors in connection with the initial public offerings of securities. Three former brokers were convicted at trial and twenty-two entered guilty pleas.

United States v. Ian Wilson et al., 01 Cr. 53 (DLC): Co-counsel in the prosecution of the former CEO, CFO, Executive Vice President, and a Vice President of Aurora Foods, a food marketing company with a market capitalization in excess of $1 billion, for their participation in a financial statement fraud.

United States v. James Nicholson, 09 Cr. 414 (RJS): Co-lead counsel in the investigation and prosecution of the former President of investment firm Westgate Capital on charges of securities fraud, investment advisor fraud and mail fraud, in connection with a scheme that caused investor losses of approximately $150 million.

United States v. Richard Adelson, 05 Cr. 325 (JSR): Co-lead counsel in the investigation of a several hundred million dollar financial statement/accounting fraud at Impath, Inc.

United States v. Louis Zehil, 07 Cr. 659 (DAB): Lead counsel in the investigation and prosecution of an attorney for reaping approximately $17 million in illicit profits through the fraudulent sale of securities following reverse merger transactions in which he represented various issuers.

Operation Knockoff: Lead counsel in the investigation and prosecution of an international bootleg DVD ring that created and distributed hundreds of millions of counterfeit movies. Fifteen defendants convicted on copyright related charges.

United States v. Ronald Peteka, 07 Cr. 826 (LTS): Lead counsel in the investigation and prosecution of an executive who was convicted of stealing proprietary hedge fund information from a leading investment bank.

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