AREA OF PRACTICE

White Collar Defense & Government Investigations

Biography

Alex Lipman has over 25 years of experience both in private practice and government with a focus on SEC enforcement, white collar, securities litigation, regulatory and corporate governance matters. His practice focuses primarily on representing individuals and organizations in connection with SEC enforcement and criminal matters relating to insider trading, corporate financial irregularities, and securities sales practices.

Alex’s government experience includes serving as a Special Assistant United States Attorney on the Securities and Commodities Fraud Task Force at the US Attorney’s Office for the Southern District of New York. In that position, he prosecuted and tried cases involving accounting fraud, mail and wire fraud, and insider trading. Alex also served as a Branch Chief in the SEC’s Enforcement Division, where he conducted numerous high-profile investigations into securities law violations, including cases stemming from the collapse of Enron.

Representation

Representation of the special committee of a non-U.S. multinational corporation in connection with a corruption, bribery, and FCPA cross-border investigation.

Representation of a senior banker based in London in an FCPA investigation by the Department of Justice.

Representation of a former CEO of a non-U.S. multinational company in an FCPA investigation.

Representation of an amicus curiae in appeals to the D.C. Circuit, Eleventh Circuit, and U.S. Supreme Court relating to constitutional defects in SEC administrative proceedings.

Representation of an investment advisor in an inquiry by the Cayman Islands Monetary Authority.

Representation of a former senior venture capital executive in connection with criminal and civil proceedings involving allegations of securities fraud, insider trading, and money laundering.

Representation of a prominent investment adviser and its principal at a three-week trial in a Securities and Exchange Commission enforcement proceeding alleging fraud in connection with the creation and marketing of certain collateralized debt obligations (CDOs). Obtained partial reversal of administrative law judge‘s findings. Continued representation on appeal from the SEC‘s partial affirmance of the ALJ‘s initial decision.

Representation of a top executive of a major corporation in an insider trading investigation.

Representation of a former chief compliance officer of a major broker dealer in FINRA and SEC investigations.

Representation of a prominent portfolio manager and investment adviser in a Securities and Exchange Commission investigation stemming from allegations of conflicts of interest.

Representation of a trader for a major multinational bank in connection with a multi-agency, multi-jurisdiction investigation, involving various U.S. and British law enforcement authorities and regulators.

Obtained a voluntary dismissal by the SEC of a filed action against a former senior executive of a collateral manager, involving charges of negligent fraud in connection with creation and marketing of a CDO.

Representation of a news publisher in an SEC insider trading investigation.

LIBOR-related representation of a trader for a major bank in a multi-agency, multi-jurisdiction investigation.

Representation of one of the world’s most prominent technology companies in matters relating to FCPA and compliance issues in Russia.

Representation of a major foodservice company in an investigation by the Office of the Attorney General of New York.

Representation of the CEO and chairman of a Fortune 500 company in a financial fraud investigation.

Representation of a former head of the audit committee of a Chinese company formerly listed in the U.S. in connection with an SEC investigation stemming from allegations of financial fraud.

Representation of executives of public companies in options backdating investigations by the SEC.

Representation of an airline executive in DOJ Antitrust Division’s investigation of price-fixing.

Education

New York University School of Law – J.D., 1991
Wesleyan University – B.A., with honors, 1986

Bar Admissions

New York
US District Courts for the Southern and Eastern District of New York and District of Massachusetts
District of Columbia Circuit
Second Circuit
Third Circuit
Eleventh Circuit
US Supreme Court

Languages

Ukranian
Russian
Publications
Awards and Honors