Aletheia Research and Management

The firm represented the creditors' committee of Aletheia Research and Management, Inc. The debtor provided investment advice and management services to individuals and entities investing in securities through several investment strategy products and, at its height, had over $10 billion of assets under management. Amid an SEC investigation and eventually an indictment by the SEC of the debtor’s principal for various securities act violations, the committee investigated allegations of misconduct and, within weeks of being appointment, negotiated a stipulated turnover of the company to a court-appointed chapter 11 trustee.