As a former senior officer of the Securities and Exchange Commission (SEC), Gary brings deep enforcement experience, complex civil litigation, and trial skills to clients…
As a former senior officer of the Securities and Exchange Commission (SEC), Gary brings deep enforcement experience, complex civil litigation, and trial skills to clients navigating government investigations and regulatory matters. In his most recent government role, Gary served as an Associate Director of the SEC’s Division of Enforcement and Regional Director of the SEC’s Los Angeles Regional Office. As co-head of the Los Angeles office’s enforcement program, he supervised approximately 70 investigative attorneys, litigators, and enforcement accountants responsible for investigating and litigating federal securities law violations across Southern California, Arizona, Nevada, Hawaii, and Guam. In that role, he collaborated with SEC staff across the agency’s regulatory divisions, its regional offices, and at the SEC’s home office in Washington, D.C. Gary’s investigative and litigation docket covered the full spectrum of the federal securities laws, including matters concerning public company financial reporting and disclosure, securities registration and offering fraud, insider trading, market manipulation, private funds, investment advisers and broker-dealers, anti-money laundering enforcement, and the Foreign Corrupt Practices Act. Gary also has significant experience conducting parallel investigations with the Department of Justice, FBI, Commodity Futures Trading Commission, FinCEN, and state and foreign regulators.
As a former senior officer of the Securities and Exchange Commission (SEC), Gary brings deep enforcement experience, complex civil litigation, and trial skills to clients…
As a former senior officer of the Securities and Exchange Commission (SEC), Gary brings deep enforcement experience, complex civil litigation, and trial skills to clients navigating government investigations and regulatory matters. In his most recent government role, Gary served as an Associate Director of the SEC’s Division of Enforcement and Regional Director of the SEC’s Los Angeles Regional Office. As co-head of the Los Angeles office’s enforcement program, he supervised approximately 70 investigative attorneys, litigators, and enforcement accountants responsible for investigating and litigating federal securities law violations across Southern California, Arizona, Nevada, Hawaii, and Guam. In that role, he collaborated with SEC staff across the agency’s regulatory divisions, its regional offices, and at the SEC’s home office in Washington, D.C. Gary’s investigative and litigation docket covered the full spectrum of the federal securities laws, including matters concerning public company financial reporting and disclosure, securities registration and offering fraud, insider trading, market manipulation, private funds, investment advisers and broker-dealers, anti-money laundering enforcement, and the Foreign Corrupt Practices Act. Gary also has significant experience conducting parallel investigations with the Department of Justice, FBI, Commodity Futures Trading Commission, FinCEN, and state and foreign regulators.
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