William Martin

William J. Martin has a wealth of government and private practice experience that enables him to guide companies, audit and special committees, officers and directors, and others in connection with internal investigations, government and regulatory inquiries and enforcement actions, and litigation.

A former senior counsel in the US Securities and Exchange Commission’s Market Abuse Unit, Bill has investigated and prosecuted securities cases involving matters such as insider trading, market structure practices, the Foreign Corrupt Practices Act (FCPA), failure-to-supervise, investment advisors, and cybersecurity. In these matters, Bill worked closely with, among others, the Justice Department, FBI, IRS, and FINRA.

Before entering public service, Bill spent six years in the litigation practice of a major New York law firm, advising clients in shareholder derivative and securities litigation and investigations. His practice included a significant cross-border component and notable litigation brought under the FCPA.

Experience:

• Private Practice Experience
  • Represented a global bank in cross-border tax fraud in DOJ, SEC & IRS investigations; prepared for trial on enforcement of IRS “John Doe” summons
  • Represented a US bank in separate investigations by DOJ, OCC, Federal Reserve, FDIC, multiple state AGs, and congressional committees into alleged foreclosure and mortgage servicing deficiencies
  • Defended major corporation against shareholder securities fraud claims, derivative and books and records cases brought against it in state and federal court relating to potential FCPA violations and/or rejected merger offer; won five dismissals
• Selected Government Experience:
  • FCPA, internal accounting controls, and books and records action related to conduct in India, China, and Kuwait
  • Insider trading action with profits in excess of $40 million

Government Experience:

• Senior Counsel, Division of Enforcement, Market Abuse Unit, US Securities and Exchange Commission (2015-2019)

Admissions:

• New York
• US Court of Appeals, Second Circuit
• US District Court, Eastern and Southern Districts of New York

Education:

• University of Chicago Law School, J.D., with honors; Comment Editor, University of Chicago Law Review
• Woodrow Wilson School, Princeton, M.P.A., Domestic Public Policy
• Carleton College, B.A., magna cum laude, Economics and Political Economy

Clerkships :

• Honorable Chester J. Straub, US Court of Appeals, Second Circuit
• Honorable P. Kevin Castel, US District Court, Southern District of New York