The landscape of securities regulation enforcement in the United States is filled with highly accomplished lawyers, aiding businesses to navigate the complex conundrums of the industry. These lawyers guide enterprises through multiple jurisdiction complexities, assist in defending against Securities and Exchange Commission (SEC) enforcement actions and investigations, and counsel corporate clients on internal inquiries, among other tasks. Let’s traverse nationwide and take a closer look at some of the remarkable professionals specialized in Securities Regulation Enforcement.
These astute lawyers have been ingrained in the sector, bringing their unique problem-solving skills to represent an array of clients such as major accounting firms, public companies, broker-dealers, banks, and investment advisors. They have earned respect and admiration for their exceptional abilities in dealing with complicated matters of securities regulation and enforcement, with their counsel sought, not only within the nation but also on a global level.
Through their expert involvement in matters ranging from insider trading to market manipulation, each lawyer has developed an appraisal for their high-quality service and dedication to their clients. Let’s further explore the industry’s various respected figures and their respective firms, which are a testament to their efforts.
Lori Martin
Known for her regulatory and SEC enforcement practice, Lori Martin, a dedicated member of WilmerHale, has gained significant presence in civil securities litigation. Lori is an expert in matters relating to ERISA. Described as a “go-to lawyer” for serious problems, Lori is lauded for being methodical, practical, and a pleasure to work with.
Walter G Ricciardi
Walter G Ricciardi, of Paul, Weiss, Rifkind, Wharton & Garrison LLP, has earned a reputation for skilfully acting for banking and accounting clients, and international corporations. Known for handling enforcement actions and investigations by entities like SEC and CFTC, Ricciardi is aptly equipped to tackle challenging marketplace manipulation allegations.
David Stuart
Cravath, Swaine & Moore’s David Stuart, known for his adept handling of cross-border investigations with multiple agency involvement and counseling on internal investigations, is esteemed for his excellent business sense, presentation style and creative solutions.
Carmen J Lawrence
Carmen J Lawrence from King & Spalding LLP distinctly represents public companies and investment advisers in SEC inquiries and internal investigations. She exhibits strong proficiency in accounting, disclosure and MBS-related matters.
Samuel J Winer
Samuel J Winer, from Foley & Lardner LLP, is distinguished for representing major accounting firms in investigations by the SEC and PCAOB. Well-regarded in the industry, Winer also acts for public companies, broker-dealer industries, and investment advisers.
Christopher Davies
Christopher Davies from WilmerHale, specializing in multijurisdictional regulatory proceedings and investigations, often acts for major accounting firms and public companies before the SEC, DOJ and foreign regulators.
Linda Chatman Thomsen
Davis Polk & Wardwell’s Linda Chatman Thomsen uses her vast experience in SEC enforcement from both a defense and prosecutorial perspective to provide exceptional representation to her financial clients.
Dixie L Johnson
King & Spalding’s Dixie L Johnson is a respected regulatory practitioner well-known for handling enforcement actions by DOJ and SEC on behalf of clients like asset managers, banks, and public companies.
William McLucas
William McLucas of WilmerHale is recognized for his expert handling of SEC enforcement actions and investigations. Acting consistently for public companies, as well as leading banks and mutual funds, McLucas has a reputation for being savvy and experienced.
Jonathan Tuttle
Jonathan Tuttle from Debevoise & Plimpton LLP is highly appreciated for his skills in accounting cases and offers solid expertise in wider financial services and corporate client matters. Clients commend him for his sharp brains and exceptional ability to explain the law.
All these lawyers are significant assets in the field of securities regulation enforcement, and other professionals in their field hold them in high regard. They will continue to shape and influence the direction of this complex and ever-evolving industry.
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