Affiliated with Robbins Government Relations

Joshua tries business cases.  Prior to joining the firm, he served for nine years as a senior trial counsel in the Enforcement Division of the SEC, where he tried numerous bench and jury trials to verdict while sitting in the first chair.  Joshua’s core practice focuses on representing executives, officers, directors, industry professionals, independent funds, independent broker-dealers and small-to-mid-sized issuers in SEC enforcement investigations and litigation.  Joshua has represented the same type of clients in criminal investigations that sometimes arise from parallel SEC investigations, and he regularly partners with other criminal defense counsel to help his clients achieve their overall goals in such matters.  Joshua has deep experience working with staff of the SEC’s Atlanta Regional Office and with the senior managers of the Division of Enforcement throughout the country.   His cases and investigations have spanned the full range of the SEC’s case load—from technical regulatory violations to alleged fraud of every stripe—and include matters involving suspected accounting fraud, insider trading, abusive trading practices, allegedly excessive or unearned fees, lack of board member independence, undisclosed conflicts of interest, violations of Regulation Best Interest, Ponzi schemes and garden variety disclosure fraud.  While at the SEC, Joshua won the prestigious Ellen B. Ross award, a national award given to two people annually in recognition of exemplary commitment, enthusiasm, and performance in working to fulfill the SEC’s responsibilities for the fair and effective enforcement of the federal securities laws.

Although he is an expert in the federal securities laws and the SEC enforcement process, Joshua has litigated and tried cases involving a wide array of business matters while in private practice.   Many of his cases involve the defense or prosecution of private lawsuits involving investments gone bad, but he has handled all manner of business disputes, representing clients large and small, plaintiffs and defendants, in cases involving antitrust violations, real-estate disputes, professional malpractice, business divorces, acquisitions gone south, breaches of contract and thefts of trade secrets.  Joshua has also defended officers, directors and executives of public companies in shareholder derivative suits and adversary proceedings, where his clients were alleged to have engaged in a variety of misconduct.  He has defended putative class actions on behalf of insurance companies, public companies, accounting firms, lenders, and other financial institutions in cases involving a wide range of subject matters. 

In addition to managing his busy case load, Joshua actively serves his community in a number of roles with non-profit organizations.  Joshua currently serves as a board member, finance committee chair and board treasurer of the International Community School, a public charter elementary school in DeKalb County, GA that focuses on educating the children of refugees and other English language learners.  Joshua also currently serves on the board of AHEPA One, Inc., a 501(c)(3) corporation that manages a federally subsidized senior-living facility in Decatur, GA.   

Select SEC Enforcement Cases

  • SEC v. World Tree Financial, No. 6:16-cv-1229 (W.D. La.) (obtained a verdict in client’s favor after a bench trial in a cherry-picking case)
  • SEC v. Doffing, No. 1:12-cv-2984 (N.D. Ga.)  (obtained a jury verdict in client’s favor in a circumstantial insider trading case)
  • SEC v. Jacobs, No. 1:13-cv-1289 (N.D. Oh.) (obtained a jury verdict in client’s favor in a circumstantial insider trading case)
  • SEC v. Coen, No. 24-cv-06988 (S.D.N.Y.) (currently representing independent director in enforcement action alleging accounting fraud and lying to auditors)
  • SEC v. Frost, No. 1:25-cv-3826 (N.D. Ga.) (represented individual alleged to have orchestrated a $140M Ponzi scheme)
  • SEC v. Torchia, 183 F. Supp. 3d (N.D. Ga.) (obtained a receiver following a contested evidentiary hearing in an offering fraud case)
  • SEC v. Bernath, No. 3:15-cv-485 (W.D.N.C.) (obtained a judgment after a contested evidentiary hearing against an investment adviser in an undisclosed conflict-of-interest case)
  • SEC v. Detroit Memorial Partners, No. 1:13-cv-1817 (N.D. Ga.) (obtained orders freezing assets and appointing a receiver following a contested evidentiary hearing in an offering fraud case)
  • SEC v. Kelly, 1:18-cv-4939 (N.D. Ga.) (obtained a preliminary injunction and asset freeze in a case involving misappropriation by an investment adviser)
  • SEC v. Meyer, No. 1:18-cv-5868 (N.D. Ga.) (obtained a receiver after a contested motion in a case against an investment adviser who took unearned fees)
  • SEC v. Watkins, 317 F. Supp. 3d 1244 (N.D. Ga.) (obtained summary judgment against an individual who defrauded former NBA player Charles Barkley)
  • SEC v. Rand, 1:09-cv-1780 (N.D. Ga.) (obtained summary judgment in an accounting fraud case involving earnings management by Beazer homes)
  • SEC v. Woods, No. 1:21-cv-3413 (N.D. Ga.) (obtained an asset freeze, preliminary injunction, and receiver in a Ponzi scheme case)
  • SEC v. Hope Advisors, No. 1:16-cv-1752 (N.D. Ga.) (secured favorable judgment in a case alleging that an investment advisor used a complicated options trading strategy to inflate fees)
  • In re Melvin, No. 3-15659 (SEC) (obtained an order barring an accountant from practicing before the commission in a contested proceeding under SEC Rule 102(e))
  • In re Bernath, No. 3-16943 (SEC) (obtained an order barring an investment adviser from the industry in a contested administrative proceeding)
  • In re Marwood Group Research, LLC, No. 3-16790 (SEC) (obtained first enforcement order against a “political intelligence” investment adviser)
  • SEC v. Ray, No. 1:19-cv-2789 (D. Col.) (obtained asset freezes and permanent injunctions against all defendants in a Ponzi scheme case)

Select SEC and CFTC Investigations

  • Represented CEO of a  Fortune 500 company during investigation into board member independence.  Investigation terminated with no charges against client
  • Represented affiliate of a specialty broker-dealer during investigation into suspected registration violations.  Investigation terminated with no charges against client
  • Represented independent broker-dealer and nine registered representatives during investigation into suspected violations of Regulation Best Interest.  Investigation terminated with no charges against clients
  • Represented individual investigated for suspiciously timed trading that was suspected to be part of an insider trading ring.  Investigation terminated with no charges against client, even though several non-clients were charged
  • Represented multiple different “feeder funds” that invested in Ponzi schemes or other fraudulent investment opportunities.  No charges filed against any firm clients
  • Represented a start-up company and its three founders in an investigation into suspected offering fraud and misappropriation of investor funds.  Investigation terminated with no charges against any clients
  • Representing innocent spouse with respect to potential claw-back claims in a CFTC enforcement action
  • Representing multiple individuals responsible for preparing financial statements as part of investigation related to a multi-billion-dollar prior period adjustment
  • Representing independent trustees of a group of ETFs in investigation related to potential violations of the Investment Company Act
  • Represented numerous third-party recipients of SEC and CFTC document and testimony subpoenas

Select White Collar Criminal Matters

  • U.S. v. Williams, 2:23-cr-00197 (S.D. Oh.) (obtained, after guilty plea, sentence of one year and one day for client when the low end of the sentencing guidelines range was over five years)
  • U.S. v. Merani, 1:22-cr-00283 (N.D. Ga.) (obtained pre-trial diversion agreement which will result in no criminal conviction for a client indicted for allegedly participating in a computer-hacking, pump-and-dump scheme)

Select Other Experience

  • Member of trial team that successfully defended the State of Missouri during an eight-week trial challenging the adequacy of the state’s school funding system.
  • Successfully prosecuted, as lead trial counsel, multiple commercial arbitrations resulting in six- and seven-figure awards in client’s favor.
  • Obtained, after a two-day evidentiary hearing, a preliminary injunction preventing a client’s former business partner from competing with the client’s business.
  • Obtained, after an evidentiary hearing, the appointment of a receiver over a dental practice that defrauded his client.
  • Obtained the appointment of a receiver over the management company of the nation’s largest burn center.
  • Obtained a $24M settlement in an antitrust case brought by a start-up software developer against an incumbent monopolist.
  • Represented several big-four accounting firms and Amlaw-100 law firms in malpractice and fraud cases.
  • Represented officers and directors in shareholder derivative suits and adversary proceedings brought by bankruptcy trustees.
  • Represented clients in antitrust investigations of mergers in various industries, including energy and building materials.
  • Represented insurance companies, lenders, accounting firms, and other clients in fraud, securities, and antitrust class-action lawsuits.
  • Represented the State of Georgia in a billion-dollar school funding lawsuit that the plaintiffs dismissed on the eve of trial.
  • Represented Atlanta-area charter schools in a wide variety of matters, including filing suit against their authorizing school districts for illegally underfunding the schools.
  • Represented a large metropolitan school district in a wide variety of matters related to charter schools, alleged corruption, open records act compliance, accreditation, and other special matters.