Supreme Court Likely to Decide Whether to Hear SEC ALJ Issue This Term
Ken Herzinger is the Deputy Chair of the White
Collar, Investigations, Securities Litigation and Compliance Group and a partner in the San Francisco office. Ken was an attorney in the Enforcement Division of the U.S. Securities and Exchange Commission prior to joining private practice. His
practice focuses on SEC investigations and enforcement actions, internal
investigations, and securities class actions.
Ken has nearly 20 years of experience as a securities litigator and has handled every type of securities law matter, including accounting and financial reporting, internal control over financial reporting (ICFR), disclosure controls and procedures, the Foreign Corrupt Practices Act (FCPA), insider trading, and Dodd-Frank and SOX whistleblower retaliation claims.
SEC and Regulatory: As a former SEC Enforcement attorney, Ken has successfully represented corporations, officers and directors, financial institutions, broker-dealers, auditors, and government municipalities in dozens of high profile investigations and enforcement proceedings by the SEC, U.S. Attorney's Office, PCAOB, and self-regulatory organizations such as FINRA.
Internal Investigations: Ken has also conducted numerous global and domestic internal investigations for public and private companies and audit committees regarding a myriad of issues including accounting fraud, internal control over financial reporting (ICFR), disclosure controls and procedures, the FCPA, insider trading, and whistleblower retaliation claims.
Securities Class Actions: Ken has also represented officers and directors and public companies in many high stakes securities class actions. He has tried cases in federal and state court and in arbitration proceedings, and was a member of the trial team which obtained a defense verdict in one of only several securities class action jury trials in the country to be tried to verdict.
He frequently lectures on and provides training for publicly traded companies and directors and officers on regulatory matters, corporate governance, and compliance.
Ken's clients include: Broadcom Corporation, Charles Schwab, Chesapeake Energy Corporation, McAfee, Oracle Corporation, SandRidge Energy, Walmart, and Western Union.