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 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. Earlier in his career, Rick served as a Branch Chief in the SEC's Division of Enforcement in Washington, DC. 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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August 14, 2024
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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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Publications
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October 2024
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September 12, 2024
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August 26, 2024
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August 22, 2024
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July 2024
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July 2024
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July 2024
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July 12, 2024
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June 27, 2024
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Quick Reads
Presentations and Events
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July 30, 2024Panelist
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July 10, 2024Presenter
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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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