Bill Martin

Defends financial services companies, digital assets and other fintech companies, and executives in DOJ, SEC, CFTC and state regulatory investigations, as well as private litigation.

Analyzed potential legal and regulatory risks of specific digital assets on behalf of range of clients in digital assets industry.

Successfully defended registered investment adviser affiliated with national bank and individual employee in FINRA investigation.

Represented and prepared individual subpoenaed to testify in criminal securities fraud trial.

Led multiple rounds of briefing and 4 oral arguments for large pro bono team in D.D.C. immigration case.

Obtained over $134 million in settlements with 5 entities, including depositary banks and broker-dealer firms, as well as 2 and individuals, involved in the practice of improperly pre-releasing ADRs.

Charged recidivist company with FCPA internal accounting controls and books and records violations in India, China and Kuwait; obtained $7.8 million penalty.

Charged two individuals with civil insider trading in excess of $40 million. After verdicts in parallel criminal case, reached settlements with both defendants providing monetary and injunctive relief.

Charged broker-dealer and investment adviser with Safeguard Rule of Regulation S-P violation after data breach involving over 330,000 customer households. Obtained $1 million penalty, the largest to date for this violation. Additionally, after parallel criminal investigation, obtained 5-year industry bar based on criminal conviction against former financial advisor who caused data breach.

After parallel criminal investigation, charged former investment adviser with $20 million securities and investment advisor fraud on clients. Separately obtained lifetime industry bar based on criminal conviction and 5-year prison sentence.

Responsibilities include developing investigative plans, interviewing and taking testimony from witnesses, drafting memos recommending that the Commission enter formal orders of investigation or authorize or institute proceedings and negotiating settlement of SEC charges against firms or individuals.

Paul R. Carey Award winner in recognition of pre-released ADR cases: SEC Chairman annually recognizes staff across agency for their exceptional personal commitment and effectiveness in working on a significant official matter.

Three-time winner of Director of Enforcement Division Award in recognition of outstanding work on Walters, ITG and Morgan Stanley Smith Barney / Galen Marsh matters.

Deposed expert (former bankruptcy judge) in case alleging $500 million+ in damages; defended rebuttal expert in deposition; second-chaired other expert depositions; drafted expert reports, proposed jury charge, motions in limine and jury simulation materials.

Represented foreign bank in cross-border tax fraud in DOJ, SEC & IRS investigations; prepared for trial on enforcement of IRS “John Doe” summons; drafted and coordinated successful implementation of settlement agreements.

Represented U.S. bank in separate investigations by DOJ, OCC, Federal Reserve, FDIC, multiple state AGs and congressional committees into alleged foreclosure and mortgage servicing deficiencies. Interviewed current and former bank employees and negotiated OCC and Federal Reserve settlements.

Defended major NY corporation against shareholder 10(b), derivative and books and records cases brought against in state and federal court for potential FCPA violations and/or rejected merger offer. Won five dismissals.

Served as judicial law clerk to the Honorable Judge Chester Straub, researching and drafting opinions, orders, and bench memoranda.

Served as judicial law clerk to the Honorable Judge P. Kevin Castel, researching and drafting opinions, orders, and bench memoranda.