Michael A. Ungar is a partner in the law firm of McDermott Will & Emery LLP and is based in the Firm’s Washington, D.C., office. His practice focuses on investigations and enforcement proceedings by the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC), federal criminal authorities, Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB) and state securities regulators. Michael also conducts internal investigations and provides guidance on securities compliance matters.
Michael has experience with enforcement matters involving financial fraud, disclosure issues, broker-dealer violations, misconduct by securities professionals, the Foreign Corrupt Practices Act, insider trading, market manipulation, short selling, ownership reporting, unregistered distributions, and conduct by accountants and independent auditors.
Articles in the National Law Review database by Michael A. Ungar