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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April 16, 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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David Dickstein, Richard Marshall and Phillip Koh Assist LSTA With Fiduciary Standard Comment LetterAugust 27, 2018
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June 7, 2018
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June 6, 2018
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May 15, 2018
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Publications
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January 28, 2021
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October 22, 2020
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October 19, 2020
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June 6, 2020
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May 15, 2020
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May 8, 2020
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March 17, 2020
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January 9, 2020
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December 13, 2019
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Presentations and Events
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PanelistFebruary 24, 2021
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SpeakerFebruary 18, 2021
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Moderator | Hot Topics in Securities Regulatory Enforcement.October 15, 2020
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SpeakerJuly 30, 2020
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Panelist | Lessons Learned and the Status of Regulatory Relief
Panelist | Best Practices and Challenges to Address Going ForwardJune 18, 2020 -
SpeakerMay 7, 2020
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PanelistApril 23, 2020
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PresenterMarch 4, 2020
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SpeakerDecember 11, 2019
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