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Matthew Rossi

Matthew Rossi

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Securities Investigations: Internal, Civil and Criminal

Securities Investigations: Internal, Civil and Criminal

Global Investigations Review 2016

Matthew Rossi is a partner in Mayer Brown's Washington DC office and co-leader of the firm’s Securities Litigation & Enforcement practice. His practice focuses on all aspects of securities regulatory enforcement defense with particular emphasis on representing investment advisers, broker-dealers, private funds, registered investment companies and their affiliates in SEC, FINRA and state securities inspections, investigations and enforcement actions. He also routinely counsels clients on compliance matters.

Before joining Mayer Brown, Matthew worked in the United States Securities and Exchange Commission’s (SEC) Enforcement Division, where he served most recently in the position of Assistant Chief Litigation Counsel. In this role, he primarily investigated and litigated violations of the federal securities laws by investment advisers, broker-dealers, large financial institutions and others.

Matthew also served as Senior Counsel in the SEC’s Asset Management Unit (AMU), a specialized unit within the SEC’s Enforcement Division that investigates misconduct by investment advisers, private funds and registered investment companies.

During his tenure at the SEC, Matthew served as lead counsel in enforcement actions against large investment advisers and related entities, including several high profile fraud and compliance investigations and litigations. He represented the SEC in numerous matters, including a major misrepresentation case against a hedge fund adviser managing over $1 billion, a high profile SEC national priority case arising from the financial crisis and a highly publicized enforcement action against a hedge fund manager for defrauding investors. In addition, he investigated cases involving insider trading, market manipulation and Regulation SHO violations, false investment adviser fee disclosures and unsuitable investment recommendations.

While at the SEC, Matthew worked primarily with the AMU. He advised its attorneys on completing investigations, evaluating potential charges and preparing cases for litigation against investment advisers and their affiliates. Notably, he investigated and litigated cases for the AMU and was instrumental in revising the SEC’s examination procedures.

Prior to joining the SEC, Matthew was a litigation partner at an international law firm where he led internal investigations spanning multiple countries, primarily concerning securities fraud and the Foreign Corrupt Practices Act (FCPA). He also litigated cases in the federal courts.

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