Geoff is a partner in the litigation and enforcement practice group at Ropes & Gray in Boston and Hong Kong. Geoff advises public companies, fund sponsors, and financial services clients in the United States and throughout Asia in connection with civil and criminal government enforcement matters before the SEC, DOJ, and other state and foreign regulators, and in connection with complex securities and commercial disputes.
Geoff regularly advises corporate management and directors conducting internal investigations, evaluating sensitive governance issues, and establishing regulatory compliance programs. He has particular experience advising clients regarding potential violations of global anti-corruption, anti-money laundering and sanctions laws; conducting international risk assessments; and evaluating risks associated with complex mergers and acquisitions in India, China and throughout Southeast Asia. In addition, Geoff has been advising on potential areas of investment-related fraud, including considerations for PE clients related to their Asia-based portfolio companies, in light of the global COVID-19 pandemic.
Geoff has extensive experience working with clients in the pharmaceutical, medical device, and technology sectors, as well as private equity funds, investment advisory firms and broker-dealers.
Geoff is recognized in Chambers Global, Chambers Asia Pacific, Global Investigations Review, The Legal 500 Asia Pacific, Benchmark Litigation, Who’s Who Legal and Asian Legal Business.
Experience
Anti-Corruption and International Risks
- Independent Counsel to Fortune 500 U.K pharmaceuticals manufacturer regarding SEC and DOJ inquiry pertaining to potential FCPA violations in China.
- Represented a Fortune 500 U.S. pharmaceuticals manufacturer in connection with SEC inquiry regarding potential FCPA violations in Malaysia.
- Represented a Fortune 500 U.S. technology company in connection with SEC and internal investigation regarding potential bribery and internal control violations in Thailand.
- Represented a Fortune 500 U.S. technology company in connection with SEC and internal investigation in allegations of bribery involving distributors in India.
- Represented a Fortune 500 medical and technology company in connection with an internal investigation into allegations of bid-rigging and bribery relating to public hospital tenders in China.
- Represented a leading, U.S.-listed life sciences company in connection with an investigation into illicit marketing practices and bribery relating to public hospital and government procurement sales in the Philippines.
- Represented U.K. investment bank in internal investigation relating to potential FCPA and U.K. bribery act violations regarding potential hiring practices in Hong Kong.
- Represented a leading U.S. technology and life sciences company in connection with an allegation of U.S. sanctions violations in China.
- Represented a leading telecommunications company and its private equity investor in connection with an investigation into allegations of kickbacks and bribery in Myanmar.
- Represented a Fortune 50 life sciences company in connection with a regulatory and criminal investigation into alleged violations of transfer pricing restrictions in S. Korea.
- Represented numerous multinational clients in the pharmaceutical, medical device, life sciences, and technology sectors in connection with internal investigations and risk assessments relating to the FCPA and U.K. Bribery Act throughout the Asia-Pacific Region.
- Counsel to numerous multinational private equity firms regarding FCPA, AML, and OFAC risks associated with investments in China, India, SE Asia, Korea, and Japan, and throughout the Asia-pacific region, establishing portfolio company monitoring and training programs, and in evaluating potential regulatory risks and reporting obligations under U.S. and H.K. law.
Securities Enforcement
- Represented a leading global asset manager in connection with a regulatory inquiry by the CSRC into alleged insider dealing violations.
- Represented a global private equity firm in SEC enforcement inquiry related to fiduciary duties under Investment Adviser’s Act in connection with the receipt of fees, distribution of expenses, and disclosure of potential conflicts of interests.
- Represented a Fortune 500 retail goods company in connection with SEC inquiry regarding potential accounting improprieties and alleged gaps in financial disclosure.
- Counsel to unregistered and registered investment advisers in SEC and state regulator investigations related to the use and disclosure of complex subprime asset backed securities in fixed income funds.
- Counsel for expert network and associated registered broker-dealer and investment adviser in SEC inquiry into insider trading issues arising from operations of industry-specific expert network.
- Represented fixed income and equity mutual fund advisers in connection with SEC enforcement inquiries into potential trading violations, valuation issues, and disclosure shortcomings regarding industry concentrations and leverage limits.
- Counseled the audit committee for a publicly-listed U.S. consumer goods manufacturer in connection with SEC inquiry into allegations of improprieties relating to financial reporting and disclosure.
- Counsel for the audit committee for a U.S.-based publicly-listed technology company regarding allegations in short seller report of financial accounting and reporting violations.
Disputes
- Represented a leading global asset manager in connection with dispute with PRC joint venture partner relating to on-shore fund.
- Counsel to alternative asset manager in connection with HK litigation and PRC dispute relating to credit investment in PRC company undergoing financial distress.
- Advised leading private equity firm in connection with dispute with sellers of Korean portfolio company relating to alleged misstatements in financial disclosures related to sale.
- Represented Ovascience, Inc. in obtaining a dismissal of a putative securities class action at the district court level.
- Counsel for State Street in multiple federal actions relating to losses in subprime asset-backed securities in mutual funds and unregistered collective trust funds. Cases include Yu v. State Street Corp. (S.D.N.Y. 2011), dismissing securities class action regarding mutual fund disclosures for lack of causation, and a bench trial in the Southern District of New York in ERISA litigation arising from subprime mortgage exposure in State Street fixed income funds.
- Represented a U.S.-based hedge fund in connection with shareholder action against directors of publicly-listed life sciences company alleging breaches of fiduciary duty and mismanagement.
- Provided strategic advice to multiple fund sponsors in connection with potential disputes, arbitration, and litigation alternatives in relation to investments in the Asia-Pacific region.