Louis D. Greenstein

Partner

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Practices
Industries
Education
  • Benjamin N. Cardozo School of Law, Yeshiva University, JD, 1997
  • Syracuse University, BS, Marketing, 1994
Admissions
  • District of Columbia
  • New Jersey
  • New York

Louis concentrates his practice in the area of government investigations, with an emphasis on securities enforcement and compliance. He represents public companies, public accounting firms, broker-dealers, private equity firms, hedge funds, investment advisers and their officers, directors and employees in investigations by the U.S. Securities and Exchange Commission, the U.S. Department of Justice, other federal and state agencies, and FINRA.

Louis has experience with complex representations involving parallel civil and criminal investigations and conducting internal investigations on behalf of U.S. and international public companies, boards of directors and audit committees. He regularly counsels his clients on responding to inspections by the SEC's Office of Compliance Inspections and Examinations, as well as on regulatory compliance, corporate governance and disclosure issues, including strategies for avoiding potential regulatory issues through preventive and remedial measures.

Prior to entering private practice, Louis worked in the SEC's Enforcement Division, where he conducted investigations to evaluate and enforce compliance with the federal securities laws. He also participated in the prosecution of civil and administrative enforcement actions.

In the News

vCard
T: +1 202 857 2415F: +1 202 828 33102001 K Street N.W.
Suite 400
Washington, DC 20006-1040
T: +1 212 548 7068F: +1 212 548 21501345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

Representing a leading company in the alternative investment arena in connection with investigations by the SEC, DOJ and the trustee for the SIPA liquidation of Bernard L. Madoff Investment Securities LLC in relation to the Madoff matter.

Representing an offshore bank in an internal review and SEC investigation into alleged violations of the securities, broker-dealer and investment adviser registration provisions of the federal securities laws.

Representing a leading global financial services firm and registered representative in an SEC investigation into the sale of derivatives to school districts.

Conducting an internal investigation on behalf of a public company audit committee in response to allegations of accounting fraud.

Representing a Fortune 50 company against allegations of securities laws violations by the SEC and the U.S. Department of Justice.

Representing a registered representative in an investigation by the SEC involving auction rate securities-related issues.

Advising an investment adviser and hedge fund portfolio manager in connection with SEC investigations involving alleged market manipulation, gifts and gratuities, insider trading and failure to obtain best execution.

Advising multi-billion dollar investment advisers in connection with inspections by the SEC’s Office of Compliance Inspections and Examinations.

Representing an individual affiliated with a U.S.-listed foreign issuer in connection with SEC allegations of insider trading.

Co-author, "Lessons From SEC Focus On Compliance Officers," Law360, August 18, 2014
Co-author, "SEC Issues Supervisory Liability Guidance," Insights, Volume 27, Number 11 (November 2013)
Author, The SEC Enforcement Process: Practice and Procedure in Handling an SEC Investigation, BNA, 2011
Author, "Recent Cases Against Regulated Entities & Individuals," Broker/Dealer Regulation and Enforcement, PLI, 2011
Author, "SEC Enforcement Trends," Enforcement 2011: Multi-Agency Enforcement Efforts in the New Decade, PLI, 2011
Author, "The United States Foreign Corrupt Practices Act: Enforcement Trends," The Foreign Corrupt Practices Act, PLI, 2011
Author, "SEC Enforcement Developments," 42nd Annual Institute on Securities Regulation, PLI, 2010
Author, "SEC Enforcement Trends," Securities Litigation & Enforcement Institute, PLI, 2008
Speaker, "DOJ Targeting Individuals Involved in Corporate Crimes," SEC Compliance and Disclosure Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, October 27, 2015
Speaker, "Reg M Update – Recent Short Selling Cases," SEC Compliance, Disclosure and Enforcement Update, McGuireWoods LLP SEC Practice Complimentary Webinar Series, October 22, 2013
Speaker, Anti-Corruption Programs for Private Equity Firms, The Knowledge Congress Webinar, October 3, 2013
FY2015 SEC Enforcement Report, Subject to Inquiry, October 28, 2015
SEC’s OCIE Issues a Second Cybersecurity Risk Alert, Password Protected, September 22, 2015
SEC Supervisory Liability FAQs, October 15, 2013
Don't Sell Yourself Short: Rule 105 Compliance, Subject to Inquiry, September 19, 2013
Potential Changes to Auditing Standards?, Subject to Inquiry, August 21, 2013