About Michael J. Lohnes
Litigation and government investigations bring high-stakes risk that can endanger profits, careers, and even the health and survival of a company. Recognized as a leader in securities and financial services litigation, Mike Lohnes helps clients when they are named as defendants in civil litigation or targeted by regulators. His clients include publicly traded companies, their officers and directors, and major financial services firms. Mike also assists private equity firms and other investors in their efforts to recoup investments in failed or fraudulent companies.
No-nonsense advice in disputes and government actions
Recognized as a leading litigator by The National Law Journal and Benchmark Litigation, Mike represents companies and their officers and directors against securities fraud and state law claims. He also assists financial services industry clients in connection with FINRA inquiries and arbitrations. When such clients are confronted with an internal complaint or a regulatory subpoena, Mike is regularly engaged to conduct internal investigations. Mike also regularly advises clients on corporate governance, mergers, financial reporting and disclosure, shareholder demands, insider trading and initial public offerings, in addition to counseling broker-dealer clients on trade reporting and other compliance matters, including large options positions reporting.
Practice Focus
- Securities fraud
- Investigations and enforcement proceedings by the SEC, CFTC, FINRA and state regulators
- Internal investigations, including whistleblower complaints
- White collar defense
- Securities and regulatory compliance
- Private investment disputes
- Privacy class action litigation
Representative Experience
News
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October 29, 2019
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July 1, 2017
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June 28, 2017
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July 2, 2013
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April 9, 2013
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June 1, 2012
Publications
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May 18, 2020
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September 8, 2017
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FINRA Publishes Guidance With Respect to Reporting Large Options PositionsMay 13, 2016
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"As Proxy Season Begins, the Dodd-Frank Say-on-Pay Cases Are on the Brink of Death," The D&O DiaryApril 5, 2013
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December 5, 2012
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October 29, 2012
Presentations and Events
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PresenterJune 2, 2020
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Co-moderatorMay 27, 2020
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Insider Trading Compliance: Trends and Legal Developments Impacting Policies and ProceduresPresenter | A Strategic-Asset General Counsel Series WebinarJanuary 23, 2020