Jimmy Fokas

Jimmy Fokas practices in the areas of securities litigation, regulatory enforcement, white collar defense and corporate investigations. His practice includes representation of public and private companies and regulated entities, including their officers, directors and employees, before the Securities and Exchange Commission (SEC), Department of Justice (DOJ), New York Office of the Attorney General and Financial Industry Regulatory Authority (FINRA) in investigations and enforcement proceedings concerning a variety of securities law issues, including insider trading and accounting and offering fraud.

He also counsels broker-dealers and others with respect to compliance issues, including the Foreign Corrupt Practices Act (FCPA). Jimmy has conducted internal investigations of public companies involving accounting and financial reporting issues and compliance with the Controlled Substances Act, and has represented individuals in criminal investigations concerning tax and healthcare fraud.

Prior to joining the firm, Jimmy served as senior counsel in the Division of Enforcement in the New York regional office of the SEC, where he conducted investigations of securities law violations, including allegations of accounting and offering fraud and fraudulent trading practices.

Due to his developed understanding of the operations of these government agencies, Jimmy helps his clients navigate complex fact patterns and the intricacies of government investigations in order to deliver favorable outcomes while minimizing reputational and financial risks.

Experience :

• Represents an individual in joint SEC and DOJ investigations alleging insider trading.
• Represents an individual in a New York state attorney general’s investigation of mortgage underwriting practices.
• Represents an individual in a FINRA investigation regarding anti-money laundering compliance procedures.
• Represents a global financial institution in connection with regulatory inquiries regarding trading practices and trading surveillance.
• Represents an investment banking boutique in connection with a joint DOJ and SEC investigation regarding alleged mismarking of assets.
• Represents and counsels an investment adviser during regulatory examination by the SEC.
• Responsible for supervising the investigation and certain litigation concerning the recovery and ultimate distribution to defrauded investors of assets misappropriated through purported hedge funds operated by principals of the Michael Kenwood Group.

Memberships :

• Securities Industry and Financial Markets Association
• Hellenic Lawyer’s Association
• American Bar Association

Education :

• J.D., St. John’s University School of Law, 2000, cum laude
• B.A., State University of New York at Albany, 1997, magna cum laude

Admissions :

• U.S. District Court, Eastern District of New York, 2003
• U.S. District Court, Southern District of New York, 2003
• New York, 2001