Mauro M. Wolfe

Represented Soligenix, Inc. in connection with its appeal of a delisting determination by Nasdaq Stock Market LLC for failure to comply with Nasdaq Listing Rule 5450(a)(1) (requiring common stock to maintain a minimum closing bid price of $1 for 30 consecutive trading days) and Nasdaq Listing Rule 5550(b)(1) (requiring a minimum of $2.5 million in stockholders’ equity or meet the alternatives of market value of listed securities or net income from continuing operations). Defended a plan of compliance which included the approval of a reverse stock split of Soligenix’s common stock to increase the stock price well above $1 per share and the dividend of super-voting preferred stock that mirrored the actual vote of common stock in order to overcome shareholder apathy and insure approval of the reverse stock split by Soligenix’s stockholders. Obtained a settlement client, a developer of unique block chain designed to make crypto tokens accessible to small businesses, found favorable. The SEC filed a lawsuit against the developer as the lead defendant along with 3 co-defendants for securities fraud and the sale of an unregistered offering, seeking over $10 million in disgorgement. The final settlement contained favorable terms for the client, including settling with no admissions on a “neither admit or deny” basis, settling for less than 25% of the amount sought by the SEC, and avoiding a lifetime injunction from selling securities to the U.S. Represented renowned mooncake manufacturer Mei-Xin (Hong Kong) Limited, a subsidiary of Maxim’s Caterers Limited, in obtaining an appellate victory from the Third Circuit, reversing the grant of preliminary injunction against Maxim’s and Mei-Xin after Mei-Xin sought to terminate its distribution agreement with Golden Fortune Import & Export Corporation. Successfully represented a Fintech company subject to an SEC investigation, resulting in a resolution involving only a books and records violation, with no charges of scienter-based fraud or negligence, and a modest fine. Successfully represented defendant in a three co-defendant insider trading case. Facing 37 to 46 months in prison after pleading guilty in the SDNY, the client received a sentence of probation of 4 years, 4 months home confinement, and no penalty. Representing U.S. company for OFAC matters connected to Zimbabwe. Representing EU company related to OFAC matters involving South Sudan. Representing an Eastern European executive subject to foreign extradition proceedings in connection to a U.S. DOJ indictment for alleged trafficking of controlled substances. Representing a New Jersey Healthcare provider subject to an audit by the State of New Jersey, Office of the State Comptroller, Medicaid Fraud Division. Representing a subject of the Panama Papers investigation commenced by the U.S. Attorney’s Office for the Southern District of New York. Defended an Investment Manager, based in Puerto Rico and New York City, and Private Equity Fund subject to an investigation by the SEC based in Denver. Successfully defended publicly traded company subject to FINRA insider trading inquiry. Successfully defended US publicly traded LatAm company subject to US criminal investigation for immigration fraud resulting in a written declination from federal prosecutors and saving the client tens of millions in investigation fees. Defending major accounting firm before the New York Department of Financial Services. Defending trader in Asia before the Chicago Mercantile Exchange and the New York Mercantile Exchange. Representing 3 major New York institutions involved in matters before the New York Department of Financial Services. Successfully prosecuted civilly title 28 Section 1782 US Discovery in Aid of Foreign Proceeding for clients in Cayman Islands resulting, after depositions and production of documents, a favor settlement. Successfully defended trader in U.S. and Foreign joint LIBOR investigation resulting in no action. Successfully defended former employee of major consulting firm from SEC insider trading investigation resulting in no action. Successfully defended publicly traded fashion/apparel company in connection to FINRA insider trading inquiry. Successfully defended a senior finance employee of publicly traded company who is a target of a SEC insider trading investigation resulting in no action taken by the New York Regional Office of the SEC. Successfully defended client physician subject to an ongoing multiple state medical board inquiries and ongoing criminal investigation with no action against him. Defended client physician witness in ongoing DOJ criminal investigation. Successfully defended international medical device company in connection to an off-label marketing investigation by a DOJ Health Care Fraud unit with no action against the company. Defended Philadelphia-based Broker Dealer from FINRA examination and following on the record interviews.

Conducted investigation in Greece related to potential violations. Conducting risk assessment and creation of comprehensive global anti-corruption compliance program for US software developer. Completed risk assessment and creation of comprehensive global anti-corruption compliance program for $3 billion foreign company with operations in over 60 countries. Defending three clients in a high risk continent with regards to allegations of potential violations of the FCPA. Successfully defended global UK company related to FCPA and Bribery Act 2010 matters worldwide resulting in no charges. Conducted global FCPA risk assessment for leading software technology client with significant operations in Asia.