Beth A. Black

Experience: Representative Matters: Defended a broker-dealer in a $1.25 million wrongful termination claim brought by a Vice President. After five days of hearing, the panel dismissed all claims.; Represented the Audit Committee of a U.S. publicly listed Chinese provider of content delivery and cloud computing in connection with a special investigation of claims raised by a whistleblower involving allegations of potential FCPA violations, related party transactions and manipulating revenues. Completed the investigation and made recommendations to the Audit Committee in time for the Company to remain in compliance with its reporting requirements.; Represented an underwriter in nationwide class and derivative action litigation raising charges of yield burning in connection with certain advance refundings of municipal bonds. The federal court dismissed the claims arising out of the Investment Advisers Act, remaining claims being refiled in state court. Judgment was granted in the underwriter's favor and upheld on appeal.; Represented a national bank and a broker-dealer in a state court action alleging statutory and common law claims arising from the sale of interest rate swap agreements. Secured dismissal of all claims by trial court. Trial court judgment affirmed on appeal.; Represented a former director and a former officer of a failed bank in the Northern District of Illinois and FDIC enforcement action.; Represented broker-dealers, supervisors and registered representatives in numerous SEC, FINRA, state securities regulator and exchange investigations into such matters as supervision, market manipulation, insider trading, suitability, misrepresentation and reporting issues. In connection with many of these investigations, Wells submissions were prepared and filed.