is a partner in the White Collar, Investigations, Securities
Litigation & Compliance Group 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, securities class actions, and ERISA class actions.
Ken has 20 years of
experience as a securities litigator and has handled every type of SEC
investigation and securities case, including new and developing areas like
cybersecurity, blockchain, cryptocurrency, and SEC BSA/AML enforcement, and
more traditional matters such as accounting and financial statement fraud, 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
conducted numerous global and domestic internal investigations for public
and private companies and audit committees regarding a myriad of issues
including accounting fraud, 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.
Class Actions: Ken
has successfully defended companies and ERISA plan fiduciaries in ERISA class
actions and has a strong track record of defeating the cases at the motion to
dismiss stage. Representative cases
include: In re Chesapeake Energy Corp.
2012 ERISA Class Litigation, 2013 WL 5596908 (W.D. Okla. 2013)(Won a motion
to dismiss an ERISA class action on behalf of Chesapeake Energy Corporation and
its 401(k) Plan fiduciaries); Tomassini
v. Oracle Corporation ERISA Class Action, Case No. 3:16-cv-03583-EMC (N.D.
Cal. 2016)(Obtained a voluntary dismissal of an ERISA class action on behalf of
Oracle Corporation and its 401(k) Plan fiduciaries.); Scholl v. Chesapeake Energy Corporation, et al. ERISA Litigation,
Case No. civ-17-279-R (W.D. Okla. 2017)(Obtained a voluntary dismissal of an
ERISA class action on behalf of Chesapeake Energy Corporation and its 401(k)
Plan fiduciaries in an ERISA class action.); Gernandt v. SandRidge Energy Corporation, Case No. civ-15-834-D
(W.D. Okla. 2018)(Obtained a dismissal with prejudice on behalf of SandRidge Energy Corporation and its
401(k) Plan fiduciaries in an ERISA class action).
Ken frequently lectures on and provides training for
publicly traded companies and directors and officers on regulatory matters,
corporate governance, and compliance.
His clients include: Broadcom Corporation, Charles Schwab,
Chesapeake Energy Corporation, McAfee, Oracle Corporation, SandRidge
Energy, Walmart, and Western Union.