Ken Herzinger 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, and securities 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 over 50 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. He has conducted investigations in Asia, Europe, Central America and South America.
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.
Blockchain and Cryptocurrency: Ken has represented blockchain and cryptocurrency entities, founders and employees in regulatory, litigation and compliance matters, including SEC and other regulatory investigations, and securities class action litigation. Ken has developed a deep knowledge in this area and has been working on cryptocurrency matters since the SEC staked its claim as a cryptocurrency regulator in 2017. He is a member of Orrick’s Blockchain Working Group and the Wall Street Blockchain Alliance.
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: Charles Schwab, Oracle Corporation, and Walmart.