Louis is Co-Chair of the SEC Enforcement Defense team for the Government Investigations and White Collar Litigation Department.
For more than 15 years, Louis has represented financial services firms, corporations, their boards, officers, directors and employees in investigations by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority, the United States Department of Justice (DOJ), and state regulatory agencies. Louis also has substantial experience conducting internal investigations and counseling clients on corporate governance and disclosure issues, including strategies for avoiding potential regulatory issues through preventive 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.
Louis regularly speaks and publishes on topics relevant to to his practice, including on the firm's Subject to Inquiry blog,
Represented investment adviser in SEC investigation of alleged conflicts of interest relating to selection of asset managers.
Represented broker-dealer in SEC investigation of alleged unlawful distribution of securities.
Represented public company in SEC investigation of alleged fraudulent disclosures and pump-and-dump scheme.
Represented registered representative in SEC and DOJ investigations of alleged abuses involving pre-released ADRs.
Represented U.S. issuers in SEC and foreign-regulatory investigations of alleged FCPA violations.
Conducted internal investigation on behalf of broker-dealer relating to disclosure of dark pool trade-routing practices.
Represented stock exchange in SEC investigation of alleged high-frequency-trading abuses.
Represented mutual fund independent director in SEC investigation of alleged failures in advisory contract approval practice.
Represented audit committee chair in SEC investigation of alleged disclosure failures.
Represented public companies in SEC investigations of alleged insider trading.
Represented 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.
Represented public company in SEC and DOJ investigations of alleged securities fraud.
Represented offshore bank in internal review and SEC investigation of alleged violations of the securities, broker-dealer and investment adviser registration provisions of the federal securities laws.
Represented financial services firm and registered representative in SEC investigation into the sale of derivatives to school districts.
Conducted internal investigation on behalf of a public company audit committee in response to allegations of accounting fraud.
Represented registered representative in SEC investigation of auction rate securities-related issues.
Represented investment adviser and hedge fund portfolio manager in connection with SEC investigations of alleged market manipulation, gifts and gratuities, insider trading and failure to obtain best execution.
Advised multi-billion dollar investment advisers in connection with inspections by the SEC’s Office of Compliance Inspections and Examinations.
Represented individual affiliated with U.S.-listed foreign issuer in connection with SEC allegations of insider trading.