Junaid A. Zubairi

Junaid Zubairi represents companies, boards, senior executives, financial advisors, and accounting firms in government investigations and related litigation, internal investigations, securities litigation and regulatory compliance matters.

A former senior enforcement attorney at the SEC, Junaid draws on his past experience and insider perspective to help clients respond to a broad array of inquiries by the SEC, DOJ, PCAOB and other federal and state agencies.

Junaid advises clients on issues including alleged accounting and financial fraud, disclosure issues, investment advisor misconduct, insider trading, audit deficiencies and other high-stakes investigations. He contains problems before they escalate, and structures responses that are persuasive to regulators. Clients turn to him to secure declinations, mitigate penalties and obtain favorable resolutions in line with their broader business goals. Experienced in parallel investigations involving sensitive matters, Junaid delivers actionable guidance with discretion.

A recognized authority, Junaid regularly speaks at and organizes seminars and conferences on SEC, DOJ, white-collar and enforcement trends. His insights have also been featured in the Wall Street Journal, Financial Times, Law360, SEC Today, Compliance Week, and other industry publications, where he is regularly called on to discuss government priorities and effective defense strategies.

Experience

Public Companies, Boards, and Audit Committees

• Represented audit committee of a real estate investment trust in connection with an independent investigation concerning personal expenses, corporate aircraft usage, and whistleblower retaliation.
• Represented a publicly traded engine supplier and multiple current and former employees through an SEC investigation stemming from a financial restatement and whistleblower allegations regarding the company’s revenue recognition practices, as well as related shareholder derivative lawsuits and a securities class action.
• Represented audit committee of energy company in connection with internal investigation and SEC investigation concerning revenue recognition issues.
• Conducted internal investigation for national life insurance company regarding regulatory reporting matters.

Executives

• Represented the CFO of an automative supplier company in connection with an internal investigation and SEC investigation relating to allegations of earnings management.
• Represented CFO of a medical technology company in connection with internal investigation and SEC investigation concerning accounting irregularities.
• Represented bank executive in connection with DOJ and SEC investigations relating to alleged fraud by third party client in connection with warehouse credit facility and securitization of subprime debt.
• Represent former CFO in connection with SEC investigation and derivative litigation in connection with failed pursuit of a Special Purpose Acquisition Company transaction.
• Represented a former accounting director of a publicly traded transportation company in SEC and DOJ investigations and related federal criminal jury trial related to an alleged $245 million securities and accounting fraud scheme. Vedder obtained a full jury verdict in favor of our client.
• Representing former executive of Fortune50 company in SEC investigation and securities class action.
• Represented international businessman in federal criminal case alleging export-control violations relating to sales in Pakistan.

Investment Advisers

• Represented fund administrator in SEC investigation in connection with mutual fund mismarketing scheme.     
• Represented asset management firm in connection with an SEC insider trading investigation.
• Represented fund manager in connection with SEC investigation concerning liquidity of funds.
• Represented mutual funds in connection with SEC investigation concerning disclosures of pricing errors.
• Represented an institutional broker-dealer in conducting internal investigation and in related parallel SEC and DOJ investigations concerning the personal trading activity of several former employees.
• Secured a termination letter from the SEC closing an investigation into an investment adviser whose former chief compliance officer misled SEC staff during examination.

Accounting Firms

• Represented audit firm in connection with independent investigation and SEC investigation concerning exam integrity issues.