Peter I. Altman represents investment management firms, private and public companies, and individuals in white collar and other government enforcement and regulatory matters, securities class litigation and internal investigations.
He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, and the use of big data and alternative forms of electronic communication.
Peter’s experience serving at the SEC provides him with a deep familiarity of the federal securities and commodities laws and the processes of the SEC. He routinely provides advice in investigations and enforcement proceedings involving issues including alleged insider trading and other trading-related matters, and disclosure-related and regulatory compliance issues, including broker-dealer and advertising-related regulations.
He also represents multiple clients in government enforcement matters involving cryptocurrencies and initial coin offerings, closely tracking the regulatory trajectory of this quickly evolving field.
- Served as senior counsel in the SEC’s (Securities and Exchange Commission) Division of Enforcement in Los Angeles, as well as a member of the division’s selective Market Abuse Unit.
- Handles white collar and other enforcement and regulatory matters, securities class action litigation and internal investigations.
- Clients include investment management firms, public and private companies, and individuals.
- Defended an individual in an insider trading investigation by the SEC, and secured the first-ever deferred prosecution agreement with the SEC in such a matter.
- In a securities class action alleging control-person liability against a global investment firm, served as architect of the defense strategy and oversaw the execution of all aspects of litigation, including court arguments, depositions, briefings and negotiations. Achieved a huge victory, securing a highly favorable settlement funded wholly by insurance money.
- Advising individuals and investment advisors on regulatory matters concerning the trading and raising of cryptocurrencies.
- Defended a large multinational investment adviser in an investigation by the SEC into possible violations of Rule 105 of Regulation M, the SEC regulation to deter manipulative shorting related to public stock offerings, and obtained a closing letter from the Division of Enforcement.
- Deploys his detailed understanding of securities laws to regularly advise SEC-registered clients on both regulatory matters and other commercial priorities, including investment fund formation, mergers and acquisitions, corporate form strategies, labor and employment issues, and tax analyses. Serves as outside general counsel for clients without in-house legal capabilities.
- J.D., Brooklyn Law School, cum laude, 2005
- B.A., University of Michigan, with honors, 2001
- U.S.D.C., Southern District of New York
- New Jersey
- New York
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