July 28, 2021

Volume XI, Number 209

Matthew A. Rossi

Matthew A. Rossi is a Shareholder and a member of the firm’s Government Investigations & White Collar Defense group in Washington, DC.

Mr. Rossi focuses his practice on all aspects of securities regulatory enforcement defense. He represents investment advisers, broker-dealers, private funds, registered investment companies and their affiliates in SEC examinations, investigations and enforcement actions. He also routinely represents clients before FINRA and counsels clients on compliance matters including the Foreign Corrupt Practices Act.

Mr. Rossi previously served as Assistant Chief Litigation Counsel in the United States Securities and Exchange Commission’s (SEC) Enforcement Division, where he primarily investigated and litigated violations of the federal securities laws by investment advisers, broker-dealers, large financial institutions and others. Prior to this role, he served as Senior Counsel in the SEC’s Asset Management Unit, a specialized unit within the Enforcement Division that investigates misconduct by investment advisers, private funds and registered investment companies.

During his tenure at the SEC, Mr. Rossi served as lead counsel in enforcement actions against large investment advisers and related entities, including several high profile fraud and compliance investigations and litigations. He investigated cases involving insider trading, market manipulation and Regulation SHO violations, false investment adviser fee disclosures and unsuitable investment recommendations. Mr. Rossi represented the SEC in numerous high profile matters, including a major misrepresentation case against a hedge fund adviser, a national priority case arising from the financial crisis and a highly publicized enforcement action against a hedge fund manager for defrauding investors.

Prior to joining Vedder Price, Mr. Rossi was also a litigation partner at another large international law firm where he served as Co-Head of the Securities Litigation and Enforcement practice group.



Articles in the National Law Review database by Matthew A. Rossi