Andrew Farrington

Securities & Futures Enforcement

• A publicly traded company in an SEC investigation concerning allegations of accounting fraud, insider trading and undisclosed related-party transactions made in a high-profile short seller report.
• A private equity firm in an SEC investigation concerning the accuracy of certain portfolio company valuations and adequacy of disclosures to limited partners.
• A global investment bank in SEC, FINRA and CFTC investigations involving allegations of market manipulation.
• A publicly traded company in an SEC inquiry concerning the calculation and disclosure of certain financial metrics.
• A private energy company and its founder and CEO in an SEC investigation concerning certain securities offerings.

Internal Investigations

• A private equity firm in an internal investigation concerning allegations of improper calculation of incentive fees and workplace and securities law violations.
• A private equity sponsor in an internal investigation concerning certain revenue representations made by one of its portfolio companies.
• A fintech company in an internal investigation concerning compliance with certain rules related to consumer financial information.

Litigation

• AIM ImmunoTech Inc. and its board of directors in expedited fiduciary duty litigation arising from AIM’s defense against a hostile takeover attempt.
• Power & Digital Infrastructure Acquisition Corporation (XPDI) and its directors and officers in fiduciary duty litigation arising from XPDI’s $4.3 billion de-SPAC merger with Core Scientific, Inc.