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Richard M. Rosenfeld

Richard M. Rosenfeld

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Securities Investigations: Internal, Civil and Criminal

Securities Investigations: Internal, Civil and Criminal

Global Investigations Review 2016

Current Issues in Internal Corporate Investigations

Richard M. Rosenfeld is co-lead of Mayer Brown's US Securities Litigation & Enforcement practice. Richard regularly counsels and represents financial services firms, corporations, funds, directors and their committees, officers and employees in securities related business, regulatory and compliance issues.

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. Richard’s capabilities and experiences were referenced in 2016 by Global Investigations Review’s “Just Anti-Corruption” publication, which listed Mayer Brown as a “Highly Recommended” firm for FCPA compliance and investigations counseling.

Richard has acted as lead attorney in several high profile SEC investigations. His clients include many of the 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. When necessary, 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.

Prior to joining Mayer Brown, 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. In this role, 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.

Earlier in his career, he served in the Division of Enforcement at the SEC. During his time with the Commission, he handled highly complex securities frauds and was detailed as a special prosecutor to multiple 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, along with money laundering and bank, mail and wire fraud. He 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 and worked with the highest ranking regulators of several countries to address cooperation in international securities matters.

Richard served as partner for another law firm in London and Washington, DC prior to his return to the government to assist with the bailout.

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