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
-
June 22, 2022
-
November 10, 2021
-
September 3, 2021
-
September 3, 2021
-
March 26, 2020
-
September 10, 2019
-
June 5, 2019
-
September 19, 2018
-
August 27, 2018
- View All News
Publications
-
May 2023
-
March 21, 2023
-
March 17, 2023
-
February 27, 2023
-
February 21, 2023
-
January 17, 2023
-
December 13, 2022
-
December 6, 2022
-
November 14, 2022
- View All Publications
Quick Reads
Presentations and Events
-
June 22, 2023
-
January 19, 2023
-
March 10, 2022
-
March 8, 2022Panelist
-
November 18, 2021Speaker | Securities Regulatory and Enforcement Update — Asset Management
-
May 11, 2021Speaker
-
February 24, 2021Panelist
-
February 18, 2021Speaker
-
October 15, 2020Moderator | Hot Topics in Securities Regulatory Enforcement.
- View All Presentations and Events