Securities Investigations: Richard uses his more than two decades of experience in the securities field, including more than a decade in increasingly senior government regulatory and enforcement positions, to defend SEC, CFTC, FINRA, DOJ, CME and other securities-related investigations. He leads internal investigations, often advising clients on preventive compliance and remedial measures before and after securities-related issues arise.
SEC Investigations: Richard acts as lead attorney in high-profile SEC investigations primarily representing well-known US and internationally based financial services firms. Typically, Richard's greatest successes for his clients never become public, as he has succeeded on many occasions in resolving matters before charges are filed or there is any public disclosure of the government's interest. Earlier in his career, Richard served in the Division of Enforcement at the SEC where he handled complex securities frauds and was detailed as a special prosecutor to US Attorney's offices across the country to assist in matters involving cross border financial fraud and disclosure, asset management issues, derivatives and insider trading, money laundering, and bank, mail, and wire fraud.
Richard ended his career with the Commission as the only internationally based SEC representative in London where he organized, managed, and directed one of the largest multinational financial fraud litigations in SEC history. He worked with the highest-ranking regulators of several countries to address cooperation in international securities matters.
Securities Litigation: Richard calls upon his securities litigation experience in the federal courts in matters involving allegations of fraud, whether it be financial reporting violations, insider trading, market manipulation, or other regulatory or compliance issues, to advise on transactions, regulatory compliance, corporate governance, policies and procedures, and other SEC-related concerns.
Richard was asked to return to government service from private practice in the midst of the financial crisis to serve as Chief Investigative Counsel over the "TARP" bailout of the US financial system. Richard helped build and lead a team of top white collar, securities, and bank fraud specialists tasked with conducting criminal and civil investigations into some of the largest and most complex securities, bank, and mortgage frauds in US history. He managed nearly 90 lawyers, federal agents, accountants and analysts pursuing more than 150 investigations.
Richard previously served as partner for another law firm in London and Washington, DC.
