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ALEX LIPMAN

Alex Lipman has over 20 years of experience both in private practice and government with a focus on white collar, SEC enforcement, securities litigation, regulatory, and corporate governance matters. His practice focuses primarily on defending individuals and organizations in SEC enforcement and criminal matters relating to insider trading, corporate financial irregularities, and securities sales practices.

Alex’s government experience includes serving as a special assistant United States Attorney on the Securities and Commodities Fraud Task Force at the U.S. Attorney’s Office for the Southern District of New York. In that position he prosecuted and tried cases involving accounting fraud, mail and wire fraud, and insider trading. Alex also served as a Branch Chief in the SEC’s Enforcement Division, where he conducted numerous high-profile investigations into securities law violations, including cases stemming from the collapse of Enron.

Publications and presentations

  • “SEC Administrative Proceedings: Why Does the SEC Insist on Home-Court Advantage While Disadvantaging Defendants on Discovery?” American Bar Association Ninth Annual National Institute on Securities Fraud, New Orleans, LA, November 14, 2014 (Panelist)
  • “Current Trends in SEC Enforcement,” Federal Bar Council's 2012 Fall Bench & Bar Retreat, Skytop, PA, September 21, 2012 (Panelist)
  • “Understanding Fiduciary Duties and the Sweep of the Anti-Fraud Provisions of the Investment Advisers Act of 1940,” Investment Adviser Association and National Regulatory Services, Boston, MA, June 13, 2012 (Co-Presenter)
  • “Dusting off SEC Cooperation Guidance for Individuals,” Securities Law360, July 13, 2009 (Author)

Representative Experience

  • Representation of a prominent investment adviser and its principal at a three-week trial in a Securities and Exchange Commission enforcement proceeding alleging fraud in connection with the creation and marketing of certain collateralized debt obligations (CDOs).
    Representation of a prominent investment adviser and its principal at a three-week trial in a Securities and Exchange Commission enforcement proceeding alleging fraud in connection with the creation and marketing of certain collateralized debt obligations (CDOs).

  • Representation of a top executive of a major corporation in an insider trading investigation.
    Representation of a top executive of a major corporation in an insider trading investigation.

  • Representation of a former chief compliance officer of a major broker dealer in FINRA and SEC investigations.
    Representation of a former chief compliance officer of a major broker dealer in FINRA and SEC investigations.

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  • Representation of a prominent portfolio manager and investment adviser in a Securities and Exchange Commission investigation stemming from allegations of conflicts of interest.
    Representation of a prominent portfolio manager and investment adviser in a Securities and Exchange Commission investigation stemming from allegations of conflicts of interest.

  • Representation of a trader for a major multinational bank in connection with a multi-agency, multi-jurisdiction investigation, involving various U.S. and British law enforcement authorities and regulators.
    Representation of a trader for a major multinational bank in connection with a multi-agency, multi-jurisdiction investigation, involving various U.S. and British law enforcement authorities and regulators.

  • Obtained a voluntary dismissal by the SEC of a filed action against a former senior executive of a collateral manager, involving charges of negligent fraud in connection with creation and marketing of a CDO.
    Obtained a voluntary dismissal by the SEC of a filed action against a former senior executive of a collateral manager, involving charges of negligent fraud in connection with creation and marketing of a CDO.

  • Representation of a news publisher in an SEC insider trading investigation.
    Representation of a news publisher in an SEC insider trading investigation.

  • LIBOR-related representation of a trader for a major bank in a multi-agency, multi-jurisdiction investigation.
    LIBOR-related representation of a trader for a major bank in a multi-agency, multi-jurisdiction investigation.

  • Representation of one of the world’s most prominent technology companies in matters relating to FCPA and compliance issues in Russia.
    Representation of one of the world’s most prominent technology companies in matters relating to FCPA and compliance issues in Russia.

  • Representation of a major foodservice company in an investigation by the Office of the Attorney General of New York.
    Representation of a major foodservice company in an investigation by the Office of the Attorney General of New York.

  • Representation of the CEO and chairman of a Fortune 500 company in a financial fraud investigation.
    Representation of the CEO and chairman of a Fortune 500 company in a financial fraud investigation.

  • Representation of a former head of the audit committee of a Chinese company formerly listed in the U.S. in connection with an SEC investigation stemming from allegations of financial fraud.
    Representation of a former head of the audit committee of a Chinese company formerly listed in the U.S. in connection with an SEC investigation stemming from allegations of financial fraud.

  • Representation of executives of public companies in options backdating investigations by the SEC.
    Representation of executives of public companies in options backdating investigations by the SEC.

  • Representation of an airline executive in DOJ Antitrust Division’s investigation of price-fixing.
    Representation of an airline executive in DOJ Antitrust Division’s investigation of price-fixing.

Media Clips

  • SEC Drops Charges that Manager Misled Investors
    Financial Times | November 17, 2012

    New York City Government Investigations & White Collar Defense partner Alex Lipman, discusses the Securities and Exchange Commission’s decision not to pursue its case against a former collateral manager Edward Steffelin who was accused of misleading investors in a J.P. Morgan Chase & Co. mortgage-bond deal.

  • Another Fumble by the SEC on Fraud
    New York Times | November 16, 2012

    This coverage notes that the Securities and Exchange Commission dropped its case against a former collateral manager Edward Steffelin, who was accused of misleading investors in a J.P. Morgan Chase & Co. mortgage-bond deal. New York City Government Investigations & White Collar Defense partner Alex Lipman led the Nixon Peabody team representing Mr. Steffelin.

  • SEC Drops Bond Lawsuit
    Wall Street Journal | November 16, 2012

    This feature story details the decision by the Securities and Exchange Commission to drop its case against a former collateral manager Edward Steffelin who was accused of misleading investors in a J.P. Morgan Chase & Co. mortgage-bond deal. Mr. Steffelin is represented by a Nixon Peabody team led by New York City Government Investigations & White Collar Defense partner Alex Lipman.

Ideas

United States v. Newman: Second Circuit clarifies its "Delphic" interpretation of insider trading laws in landmark ruling
Government Investigations and White Collar Defense Alert | December 11, 2014

Gabelli v. SEC
Securities Litigation Alert | March 1, 2013

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Alex Lipman