Joshua Martin has more than 20 years of experience exclusively in the area of securities enforcement and litigation. Mr. Martin's practice consists primarily of (i) defending securities-related investigations conducted by the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), Congress, and other governmental and regulatory entities; (ii) conducting and defending internal investigations and independent reviews; (iii) defending securities litigation; (iv) providing corporate governance, crisis management, disclosure, and related counseling; and (v) handling broker-dealer regulatory and compliance issues.
Mr. Martin represents public companies, accounting firms, broker-dealers, financial services firms, hedge funds, private equity firms, and other institutions in securities enforcement, litigation, and related matters. He also represents individuals in these matters, including chairmen, chief executive officers, chief financial officers, general counsels, chief compliance officers, other senior executives, traders and other market participants, auditors, and lawyers. Mr. Martin's experience includes handling complex matters involving, among other things, allegations of improper financial reporting or other public disclosures, accounting errors or irregularities, inadequate internal controls, insider trading, stock manipulation, and violations of broker-dealer and other securities regulations.
- Public companies in SEC, DOJ, and internal investigations involving financial reporting, accounting, disclosure, and related issues.
- Broker-dealers in FINRA investigations involving regulatory issues.
- Private equity firm in an SEC investigation involving insider trading.
- Big Four accounting firm in SEC and PCAOB investigations involving audit and other issues.
- Chairman and Chief Executive Officer of a public company in SEC, DOJ, and internal investigations, and related securities litigation, involving financial reporting, accounting, disclosure, and related issues.
- Chief Executive Officer of a securities firm in DOJ and state AG investigations involving derivative financial products.
- Chief Financial Officer of a public company in SEC, DOJ, and internal investigations involving financial reporting, accounting, disclosure, and related issues.
- One of the country's largest health care systems in recovering a substantial investment in a money market fund that failed as a result of the financial crisis.
- JD, University of Virginia School of Law, 1997
- BA, College of William & Mary, 1994, cum laude
- District of Columbia