Kurt Wolfe advises clients in connection with internal investigations and regulatory enforcement actions. Kurt is a member of the government investigations, compliance and enforcement section of the firm’s business litigation department.
In that capacity, he represents public companies, financial institutions, asset management firms, and individuals in federal and state government investigations and enforcement actions.
Kurt has many years of experience representing clients in a wide range of investigations and enforcement proceedings, including matters involving securities fraud, accounting fraud, FCPA violations, insider trading and disclosure issues.
He has successfully defended clients in investigations by the SEC, PCAOB, FINRA, state attorneys general, the U.S. Department of Justice, and foreign criminal and civil regulatory agencies.
Kurt also has extensive experience leading internal investigations. He is known for designing and executing practical, risk-based internal investigations that position clients to remediate current issues, mitigate future issues, and cooperate, as necessary, in related government investigations.
In addition, Kurt frequently advises clients on a host of regulatory compliance issues, including broker-dealer, FCPA, insider trading, investment advisor, cybersecurity and incident response, and whistleblower concerns.
Kurt regularly writes and speaks on regulatory enforcement and compliance topics, such as SEC enforcement priorities and tactics, anti-bribery compliance and enforcement, and whistleblower programs.
Representative Matters :
- Represented a worldwide banking and financial services corporation in connection with a large-scale internal investigation and inquiries from U.S. and foreign regulators relating to the client’s Brazilian operations, with a focus on potential embezzlement and FCPA issues.
- Represented a multinational advertising and public relations company in connection with SEC and DOJ investigations into the agency’s Brazilian and Indian operations, with a focus on potential FCPA issues.
- Represented a global banking and financial services company in connection with coordinated investigations by the DOJ, SEC, FINRA, the Federal Reserve Bank of New York and certain foreign regulators relating to practices on the company’s bond trading desk, with a focus on potential antitrust issues.
- Represented a Virginia-based nonpublicly traded REIT in connection with a joint SEC and FINRA investigation into the REIT’s compliance with applicable disclosure requirements and accounting standards, with a focus on valuation issues.
- Represented an accountant with the Indian affiliate of a “Big Four” accounting firm in connection with parallel PCAOB and SEC enforcement proceedings alleging reporting and professional conduct violations.
- Regularly advises hedge funds and private equity funds on potential insider trading issues and periodically conducts discreet investigations relating to same.
Professional and Community Involvement :
- Member, Board of Directors, La Cocina VA (2018-present)
- Member, Host Committee, Go Formal for Justice Fundraiser, D.C. Bar Foundation (2013-2015)
- Member, Young Litigators Committee, Board of Directors, D.C. Bar Association (2012-2014)
- London School of Economics and Political Science, LL.M., with distinction, 2007
- University of Richmond School of Law, J.D., cum laude, 2006
- James Madison University, B.A., cum laude, with distinction, 2003
COURT ADMISSIONS : Supreme Court of Virginia
BAR ADMISSIONS : Virginia, District of Columbia
Rate : $$$