Alex Lipman has nearly 20 years of experience both in private practice and government with a focus on securities litigation, regulation, and corporate governance matters. His practice focuses on defending individuals and organizations in SEC enforcement investigations relating to insider trading, corporate financial irregularities, and securities sales practices. Alex regularly advises financial institutions about risks of exposure to claims of violations of securities laws.
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 for several years. During that time, 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
- “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)