A former securities and financial regulator, Michael J. Rivera knows the potentially devastating effects of enforcement proceedings. Coupling regulator experience with over two decades in private practice, Mike adeptly defends businesses and individuals in criminal and civil government investigations and enforcement proceedings. Mike counsels clients in the areas of securities regulation and compliance, as well as anti-corruption (the Foreign Corrupt Practices Act) and anti-money laundering. He also conducts internal investigations for companies.
Mike focuses his practice on defending parties embroiled in enforcement investigations and proceedings by the Securities and Exchange Commission (SEC) and securities exchanges, Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), and the Consumer Financial Protection Bureau (CFPB). He has represented the following types of clients in enforcement proceedings spanning a broad spectrum of securities, compliance, corporate and accounting issues: broker-dealers; securities traders; investment advisers; investment funds; accounting firms; legal, compliance and accounting professionals; public companies and their directors, officers and employees; investors; and other participants in the securities markets.
Articles in the National Law Review database by Michael J. Rivera