September 22, 2021

Volume XI, Number 265

David Smyth

David Smyth has a wide-ranging enforcement and litigation practice that focuses on representation of individuals and corporations facing action by federal and state authorities.  David also conducts internal corporate investigations and advises companies on compliance with federal and state securities laws and other laws and regulations.  David has handled cases in three of the SEC’s regional offices and its Home Office in Washington, D.C.  David has also led the defense of investigations by the CFTC, CFPB, and federal criminal prosecutors.  Throughout these matters, David has demonstrated the skills that make him a sought-after counselor and advocate: respect of the regulators, sensitivity to the nuances present in complex business environments, and a deep understanding of his clients’ industries.  David’s work in corporate compliance extends to public companies, investment advisers, broker-dealers, and other entities with complex regulatory issues.  David also participates in financial services litigation, both in federal court and in arbitrations before FINRA. 

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Articles in the National Law Review database by David Smyth

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