About Richard D. Marshall
Richard Marshall represents financial institutions and executives subject to investigations by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA) and state securities regulators. A former senior attorney at the SEC, he also advises financial services clients on regulatory issues.
The insight of a former enforcer
Rick served for several years as a branch chief in the SEC's Division of Enforcement in Washington, DC, and as a senior associate regional administrator in the SEC's New York office, where his staff conducted inspections of investment companies and investment advisers, and instituted enforcement actions against those entities. He uses insights from that experience in defending financial services providers and individuals against allegations, including insider trading and violations of the Investment Company and Advisers Act.
Practice Focus
- Securities regulation
- Private equity regulatory compliance
- Private funds and investment management
- Registered investment companies
- Government investigations
Representative Experience
News
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June 27, 2023
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June 22, 2022
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November 10, 2021
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September 3, 2021
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September 3, 2021
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March 26, 2020
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September 10, 2019
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June 5, 2019
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September 19, 2018
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Publications
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February 2024
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October 2023
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October 10, 2023
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August 25, 2023
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August 2023
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July 2023
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July 17, 2023
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June 13, 2023
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May 2023
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Quick Reads
Presentations and Events
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May 21, 2024Panelist | Legal Update
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February 21, 2024
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February 13, 2024
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February 1, 2024
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October 26, 2023
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September 21, 2023
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June 22, 2023
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January 19, 2023
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March 10, 2022
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