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Tammy Albarrán’s practice focuses on SEC investigations and enforcement actions, private securities class action litigation, derivative actions, and internal investigations. Ms. Albarrán represents public companies, financial services firms, securities brokerage firms, and their officers and directors. She has extensive experience in investigations conducted by the SEC involving financial fraud, broker-dealer violations, FCPA violations, insider trading, market manipulation, and investment fraud. She has also represented investment advisers, broker-dealers, public accounting firms, and individuals in investigations conducted by FINRA, the NYSE, and other regulatory agencies.
Ms. Albarrán also helps clients develop comprehensive strategies and response plans to handle SEC investigations while allowing them to carry on with their businesses.
Ms. Albarrán is a member of the firm's E-Discovery Practice Group. She regularly helps clients resolve e-discovery issues, advises on document preservation, and management policies.
Representative Matters
- Successfully litigated against the SEC. In SEC v. Gane, et al., Case No. 03-61553 (S.D. Fla. 2005), the SEC accused the former CEO of a public company of securities fraud based on alleged material omissions and misrepresentations. Ms. Albarrán participated in a six-day bench trial in federal court in Ft. Lauderdale, Florida, resulting in a defense ruling from the bench. See SEC v. Gane, et al., 2005 WL 90154 (S.D. Fla. Jan. 4, 2005).
- Represents the former Chief Investment Officer of Fixed Income for Charles Schwab Investment Management in a federal court action by the SEC for alleged violations of the federal securities laws based on alleged misrepresentations relating to the risk profile of Schwab’s ultra short term bond fund, the YieldPlus Fund, the Fund's level of redemptions, and adherence to the Fund’s investment policies relating to the investments in mortgage-backed securities.
- Represents the former CEO of IndyMac Bancorp in various securities class actions alleging securities fraud under the federal securities laws and in various state actions.
- Represented a Silicon Valley chip manufacturer's officers and directors in shareholder derivative suits pending in Delaware and California where plaintiffs allege "spring-loading" and "bullet-dodging" in the issuance of stock options.
- Represented a law firm corporate associate in an insider trading investigation by the SEC. The SEC closed the matter without taking any enforcement action.
- Represented a natural gas fuel provider in an insider trading investigation by the SEC. The SEC closed the matter without taking any enforcement action.
- Represented brokerage firm in NYSE Regulation inquiry concerning purported wash sales involving market-on-close orders.
- Represented of an executive and board member of a public company in connection with an SEC investigation of the company’s stock option granting practices.
- Represented the chair of an audit committee of a public company in an SEC investigation and SEC lawsuit in federal court based on alleged fraudulent revenue recognition.
- Represented a mutual fund investment adviser in an SEC investigation into whether statements made in a prospectus / proxy statement were misleading. The investigation was closed with no enforcement action
Honors and Rankings
- The Daily Journal, “Top 20 Under 40” (2012)
- The National Law Journal, Minority 40 Under 40 (2011)
- Northern California Rising Stars, Securities Litigation (2009, 2011)
Pro Bono
- Represents a class of Latinos in Maricopa County, Arizona subjected to discriminatory stops by the County Sheriff’s Office.
Memberships and Affiliations
- Board of Directors, Bar Association of San Francisco
- Advisory Board, Women in Law Empowerment Forum (WILEF)
- Federal Securities Regulation Section of the American Bar Association
- Hispanic National Bar Association
- California Minority Counsel Program
Publications and Speeches
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