< Directory Sarah P. Swanz

Sarah P. Swanz has extensive experience in securities enforcement matters and complex financial fraud litigation. Ms. Swanz represents public companies, officers and directors, and financial firms and professionals in connection with investigations before the Securities and Exchange Commission, the Department of Justice, the Financial Industry Regulatory Authority, and other regulatory and government bodies, as well as in related civil litigation.

Ms. Swanz has represented public companies and employees in accounting and disclosure investigations relating to finite reinsurance transactions, asset valuations, market timing of mutual funds, adequacy of reserves, research analyst conflict of interest issues, revenue recognition, adequacy of reserves, and other financial reporting and disclosure issues.

Ms. Swanz has conducted internal investigations on behalf of Audit Committees into stock option backdating, revenue recognition, related party transactions, internal controls, vendor allowances, and other financial reporting and disclosure issues.

Ms. Swanz also advises clients on compliance with disclosure requirements, insider trading rules, the Foreign Corrupt Practices Act, and other legal and regulatory requirements.

Prior to joining RK&O, Ms. Swanz was an associate then counsel at O'Melveny & Myers. Ms. Swanz is admitted to practice in New York and the District of Columbia.

News

• Richards Kibbe & Orbe Names Two New Counsel
• Recent Successes: RK&O Secures Dismissal of Hedge Fund Client from Multi-District Class Action Litigation

Publications

• "Anti-Bribery Compliance for Private Fund Managers" by Paul Leder and Sarah Swanz published in The Hedge Fund Law Report
• "Clamping Down on Kleptocrats" by William Barry and Sarah Swanz published by Risk Management
• "Bracing for the Storm" by Will Barry, Sarah Swanz and Audrey Ingram published in inCompliance magazine