Louis D. Greenstein is Co-Chair of the SEC Enforcement Defense team for the Government Investigations and White Collar Litigation Department. For more than 15 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, the United States Department of Justice (DOJ), and state regulatory agencies.
Louis also has substantial experience conducting internal investigations and counseling clients on corporate governance and disclosure issues, including strategies for avoiding potential regulatory issues through preventive remedial measures.
Prior to entering private practice, Louis worked in the SEC’s Enforcement Division, where he conducted investigations to evaluate and enforce compliance with the federal securities laws. He also participated in the prosecution of civil and administrative enforcement actions.
- Represented investment adviser in SEC investigation of alleged conflicts of interest relating to selection of asset managers.
- Represented public company in SEC investigation of alleged fraudulent disclosures and pump-and-dump scheme.
- Represented registered representative in SEC and DOJ investigations of alleged abuses involving pre-released ADRs.
- Conducted internal investigation on behalf of broker-dealer relating to disclosure of dark pool trade-routing practices.
- Represented mutual fund independent director in SEC investigation of alleged failures in advisory contract approval practice.
- Represented financial services firm and registered representative in SEC investigation into the sale of derivatives to school districts.
- Represented registered representative in SEC investigation of auction rate securities-related issues.
- Advised multi-billion dollar investment advisers in connection with inspections by the SEC’s Office of Compliance Inspections and Examinations.
- Benjamin N. Cardozo School of Law, Yeshiva University, JD, 1997
- Syracuse University, BS, Marketing, 1994
Admissions : District of Columbia, New York
Rate : $$$