Practice
Print PDF Securities Trading and Market Manipulation
Our expertise in representing entities and individuals in investigations regarding securities trading and market manipulation stems from years of experience in both public and private practice. Our lawyers include senior officials from the SEC and the U.S. Attorney’s Office for the Southern District of New York, as well as experienced private practitioners with a deep-seated understanding of the U.S. and international capital markets. We regularly engage with FINRA, the SEC and federal and state prosecutors in the context of investigations, enforcement actions, examinations and inspections and sweeps.
Experience
We currently represent or have recently represented:
- Global investment bank insider trading referral to SEC.
- Hedge fund "marking the close" investigation by SEC.
- Representation of multiple hedge funds in connection with investigations by the United States Attorney's Offices for the Southern District of New York and the United States Securities and Exchange Commission regarding short selling violations and the alleged spread of malicious rumors.
Publications
- "Proposed SEC Rules on Uniform Fiduciary Standard Expected Soon" by Arthur S. Greenspan, published in Bureau of National Affairs Securities Regulation & Law Report
- "Credibly Defending Against Insider Trading Allegations: SEC v. Rorech" by Eva Marie Carney
- "Developments in the Internationalization of Securities Enforcement Part II" by Michael Mann and William Barry
- "Developments in the Internationalization of Securities Enforcement" by Michael Mann and William Barry
Presentations
- RK&O partners participate in the panel discussion "Receiving Information, Managing Risk, and Preserving Liquidity: Strategies for the Current Regulatory Landscape" at the Financial Services General Counsel Luncheon in San Francisco
- RK&O partners present "Receiving Information, Managing Risk and Preserving Liquidity: Strategies for the Current Regulatory Landscape" at the Alternative Asset Management General Counsel Luncheon in New York City
- Jon Kibbe speaks at the 15th Annual Conference of The Loan Syndications and Trading Association
- MaryJeanette Dee participates as a Panelist at the PLI "Bet the Company Litigation 2009: Best Practices for Complex Cases" conference
News & Announcements
- Shari Brandt quoted in Investor’s Business Daily article “Best Buy Botched CEO Exit News But Shined in Probe”
- Acquisition International names RK&O 2011 White-Collar Crime Law Firm of the Year
- U.S. News-Best Lawyers awards RK&O "Law Firm of the Year" in White Collar-Government Investigations Law and recognizes firm's other practice areas
- Richards Kibbe & Orbe LLP names Jeffrey Lehtman a partner and Catherine Turgeon and Ryan Jackson counsel