Matthew Nielsen has over 17 years of experience defending corporations, corporate executives and employees, and securities industry professionals in civil and criminal investigations, as well as securities investigations and litigation. He represents US and international clients on matters related to federal and state securities laws, US export controls and sanctions laws and regulations, Foreign Corrupt Practices Act, whistleblower complaints, accounting fraud and healthcare fraud.
He regularly practices before state and federal regulatory and law enforcement agencies, including the US Securities and Exchange Commission (SEC), Department of Justice (DOJ), Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), state securities boards and state attorneys general.
Recent Notable Matters
Monitorship — led the team overseeing the court-appointed monitorship of an international company after it was found guilty of violating US export control laws*
Broker-dealer executive — overturned the lifetime bar of a 30-year securities professional by successfully challenging the constitutionality of SEC administrative proceedings*
Financial advisor — represented captive financial advisor of multi-billion university endowment in SEC investigation into potential pay-to-play violations*
Audit committee of nonprofit organization — led internal investigation for audit committee of Dallas-based nonprofit, leading to discovery of accounting fraud*
Public oil and gas company — internal investigation of potential insider trading for one of the largest independent liquid terminal and pipeline operators in the United States*
Foreign government-owned oil company — successfully represented foreign government-owned oil company in US anti-corruption investigation stemming from Panama Papers*
Ashford Hospitality Prime, Inc. — obtained a federal court injunction on behalf of NYSE-listed REIT against hedge fund in proxy fight, which was upheld on appeal. See Ashford Hospitality Prime, Inc. v. Sessa Capital (Master), L.P.*
Insurance company — represented an insurance industry client in a multi-billion dollar securities class action, a separate receivership claim, numerous related lawsuits filed in both state and federal court, a federal multi-district litigation (MDL) proceeding and appellate proceedings in the Fifth Circuit Court of Appeals and the US Supreme Court. See Chadbourne & Parke LLP, et al. v. Troice, 134 S. Ct. 1058 (2014); Rishmague v. Winter, 616 Fed. Appx. 138 (5th Cir. 2015)*
Financial advisors — represented more than 100 financial advisors in federal court litigation arising from an alleged Ponzi scheme and in related appellate proceedings at the Fifth Circuit Court of Appeals and the US Supreme Court. See Janvey v. Alguire, 539 Fed. Appx. 478 (5th Cir. 2013), cert. denied, 134 S. Ct. 2871 (2014)*
* Work completed prior to Bracewell