Steve Fenn's practice consists of defending securities-related investigations conducted by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Public Company Accounting Oversight Board (PCAOB), and other regulatory agencies; conducting and defending internal investigations; defending securities litigation; and handling broker-dealer and investment advisor regulatory and compliance issues.

Mr. Fenn represents public and private companies, accounting firms, broker-dealers, financial services firms, hedge funds, other institutions, and related individuals (e.g., chief financial officers, chief compliance officers, other senior executives, and auditors) in securities enforcement, litigation, and related matters. Mr. Fenn's experience includes handling complex litigation and enforcement matters involving, among other things, allegations of improper financial reporting or other public disclosures, accounting manipulation, deficient internal controls, insider trading, and violations of broker-dealer, investment advisor and other securities regulations.

Mr. Fenn is a 2006 magna cum laude graduate of Indiana University School of Law - Bloomington, where he was elected to Order of the Coif. While at Indiana he served as a Managing Editor of the Indiana Law Journal.

Experience

  • Defended a broker-dealer and an investment advisor in parallel SEC, FINRA, CFTC, and NFA investigations involving regulatory issues.
  • Defended a Big Four accounting firm in an SEC investigation involving audit and accounting issues.
  • Defended a Big Four accounting firm in an audit by the General Services Administration.
  • Defended a public company executive in an SEC investigation involving financial reporting manipulation.
  • Defended a financial institution in an SEC investigation involving insider trading.

  • Defended a public company regarding a private action for damages over aiding and abetting accounting manipulation.
  • Defended a Fortune 500 company in a class action antitrust suit.

Credentials

Education
  • JD, Indiana University School of Law - Bloomington, 2006, magna cum laude, Order of the Coif
  • BA, Economics, University of Pennsylvania, 2001
Admissions
  • District of Columbia
  • Illinois
Overview

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