Joseph Dever

Cozen O'Connor PC

$ $$$

Broadway 45
New York 10006 NY US

Joseph Dever leads the firm’s Securities Litigation and SEC Enforcement Practice. He defends clients in SEC, DOJ, and FINRA enforcement investigations, conducts internal investigations on behalf of management and boards of directors, and litigates commercial and business disputes in state and federal court.

Joe also works closely with the firm’s corporate attorneys advising his investment banking clients as underwriters and placement agents for public and private securities offerings. His clients include middle-market public companies, their officers and directors, investment banks, broker-dealers, investment advisers, and securities industry professionals.

Prior to joining the firm, Joe spent nine years with the SEC’s division of enforcement (2003-2012) where he held a number of senior positions, including senior counsel, branch chief, and assistant regional director in the SEC’s New York Regional Office.

During his time at the SEC, Joe coordinated and supervised dozens of investigations into a wide range of illegal market conduct, including public-company accounting fraud, insider trading, market manipulation, penny stock and “pump and dump” schemes, Ponzi schemes, and Foreign Corrupt Practices Act (FCPA) violations.

He supervised a number of high-profile SEC investigations with other law enforcement agencies in the New York City area, including the U.S. Attorney’s Offices for the SDNY, EDNY and DNJ, the FBI, the CFTC, the NYAG’s Office, and the Manhattan DA’s Office.

Notably, Joe was responsible for leading the SEC’s industry-wide “stock loan” investigation along with the FBI and U.S. Attorney’s Office for the EDNY. The joint SEC-DOJ investigation uncovered systemic corruption and bribery schemes among Wall Street’s securities lending desks and stock loan finder firms.

The investigation resulted in civil securities fraud charges against 57 defendants and 33 criminal convictions. Prior to joining the SEC, Joe worked for six years as a litigation associate at another Am Law 100 firm where he gained first-chair jury trial and FINRA arbitration experience.

Joe has passed the FINRA Series 7 General Securities Exam and is co-author of “SEC Market Manipulation Investigations” published in PLI’s SEC Compliance and Enforcement Answer Book (2015 & 2016).  Joe earned his undergraduate degree from Georgetown University in 1990.

He earned his law degree from Temple University Beasley School of Law, cum laude, in 1995, and was articles editor on the Temple Law Review. Following law school, Joe served a two-year federal clerkship with the Honorable Raymond J. Broderick, Senior Judge on the U.S. District Court for the Eastern District of Pennsylvania.

EXPERIENCE :

  • Represented managing director at major Wall Street financial institution in SEC market manipulation investigation involving bank’s role as underwriter for $1 billion convertible note offering. Filed a Wells submission on client’s behalf and convinced the SEC to close the investigation without filing any enforcement action against the client.
  • Represented managing principal of venture capital fund in SEC investigation involving Investment Advisers Act pay-to-play rule. Filed a Wells submission client’s behalf and convinced the SEC to close the investigation without filing any enforcement action against the client.
  • Represented former CFO of China subsidiary of Fortune 100 publicly traded company in FCPA investigation by SEC and DOJ into company’s China business practices.
  • Represented an OTC publicly traded energy company in an investigation by the SEC and DOJ into market manipulation, unregistered securities offerings, and disclosure violations.
  • Represented managing director at major Wall Street financial institution in a FINRA investigation into Section 5 micro-cap stock sales and compliance with bank’s AML policies and procedures.
  • Represented a hedge fund and its principal in a New Jersey State Bureau of Securities investigation involving misappropriation of customer funds.
  • Represented former President and Board Member of a New York publicly traded renewable energy company in federal district court (S.D.N.Y.) securities fraud action alleging 10b-5 violations. Obtained complete dismissal of all claims at motion to dismiss stage.
  • Represented broker-dealer in FINRA arbitration involving investor claims for unsuitability, breach of fiduciary duty, and misrepresentation in sale of private placement variable annuity products. Obtained defense victory following 14 hearing sessions and obtained court-ordered expungement of broker’s CRD records.
  • Represented a registered investment adviser/private equity firm in SEC examinations, and prepared the firm’s responses to examinations findings.

EDUCATION :

  • Temple University School of Law, J.D., cum laude, 1995
  • Georgetown University, B.A., 1990

BAR ADMISSIONS : New Jersey; New York; Pennsylvania

COURT ADMISSIONS :

  • U.S. District Court — Eastern District of New York
  • U.S. District Court — Eastern District of Pennsylvania
  • U.S. District Court — New Jersey
  • U.S. District Court — Southern District of New York
  • U.S. District Court — Western District of Michigan
  • U.S. Court of Appeals for the Third Circuit

AFFILIATIONS :

  • Member, SIFMA Compliance & Legal Society
  • Member, Assoc. of SEC Alumni (ASECA)

Cost

Rate : $$$$

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Broadway 45
New York 10006 NY US
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Lina Stillman

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Broadway 42
New York 10006 NY US
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