Paul R. Eckert is a partner in the firm’s Securities Department, and a member of the Securities Litigation and Enforcement Practice Group. He joined the firm in 1995. Mr. Eckert’s practice focuses on securities enforcement matters, securities litigation and regulatory compliance counseling.
Mr. Eckert has represented corporations, financial institutions and individuals under investigation by the SEC, the DOJ, the Securities SROs, and state attorneys general and securities administrators in a variety of matters involving novel issues under federal and state securities laws.
He has advised clients in connection with their responses to regulators, mitigation of violations, and development of policies and procedures designed to ensure prospective compliance with applicable rules and regulations. He also has conducted internal corporate investigations of potential violations of the federal securities laws.
From 1989 through 1993, Mr. Eckert served as a US Navy Lieutenant onboard the USS Wasp (LHD-1). In 2006–2007, he served as an Associate Counsel and Special Assistant to former President George W. Bush. Mr. Eckert serves on the Board of Trustees for the William and Mary Law School foundation.
Mr. Eckert has been a guest lecturer on emerging issues in securities enforcement matters and writes regularly on securities law topics :
- “SEC Proposes Bad Actor Disqualification to Popular Private Placement Safe Harbor,” WilmerHale Email Alert (June 2, 2011).
- “SEC Approves Sweeping Changes to FINRA’s Regulatory Reporting Rules,” with Yoon-Young Lee, Bruce Newman, Harry Weiss and Claire Hanselmann, 12 J. invest. Comp. 1 (2011).
- “NASD Amends Proposed Debt Mark Policy To Exclude Certain Transactions with Institutional Customers,” WilmerHale Briefing Series (November 22, 2006).
- Sarbanes-Oxley and the SEC’s Enforcement Program – “The Practitioner’s Guide to the Sarbanes-Oxley Act,” with William R. McLucas (ABA Press 2004).
Experience :
- Representation of broker-dealers, investment advisers and their associated persons in connection with investigations of IPO allocation practices; research analyst conflicts of interest, SRO conflict disclosures and Regulation AC; mutual fund trading practices; proxy voting practices; information barriers; fair pricing and mark-ups; trade reporting obligations; registration and licensing; personal trading practices; sales practices; and the adequacy of supervision
- Representation of public companies and their officers and directors in connection with investigations of disclosure practices concerning executive and director compensation, perquisites and related party transactions; compliance with line-item disclosure requirements; the issuance of earnings and other forward-looking guidance; and Regulation FD compliance
- Representation of public companies, their officers and directors, and underwriters in securities actions alleging violations of federal and state securities laws.
EDUCATION :
- JD, College of William and Mary, 1996
- BA, Tulane University, 1989
ADMISSIONS : District of Columbia, Virginia, New York
CLERKSHIPS : The Hon. William Lockhart Garwood, US Court of Appeals for the Fifth Circuit, 1996 – 1997
GOVERNMENT EXPERIENCE :
- Executive Office of the President, The White House, Special Assistant to President George W. Bush
- Executive Office of the President, The White House, Associate White House Counsel.
Cost
Rate : $$$
