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Lauren Mann

Lauren H. Mann Associate

New York T +1 212 548 7042 F fax +1 212 715 6264
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Lauren is a litigator in McGuireWoods’ Financial Services & Securities Enforcement Department. She represents cross-border, international companies, financial institutions, and individual clients in complex litigation, regulatory investigations and enforcement actions, and internal investigations.

Lauren has represented investment companies, broker-dealers, and individuals in investigations conducted by various regulators, including FINRA, DOJ, the SEC, and state Attorneys General.

In addition to her regulatory and investigations practice, Lauren represents both individual and corporate clients in a range of different types of litigation, including financial services litigation, class actions focused on securities laws, general commercial litigation, and FOIL litigation.

Lauren also maintains an active pro bono practice, including experience defending asylum seekers in removal proceedings and juveniles in connection with petitions to receive Special Immigrant Juvenile Status (SIJ).

Prior to joining McGuireWoods, Lauren practiced as a litigator at a New York-based law firm, where she represented global corporations, financial institutions, and select individuals in matters relating to anti-corruption compliance, internal investigations, white collar defense, criminal inquiries, and securities and regulatory enforcement.

Experience

Securities Enforcement

  • Representation of individual affiliated with U.S.-listed foreign issuer in connection with SEC allegations of false and misleading statements.
  • Representation of broker-dealer in SEC investigation concerning suitability of share classes of 529 plans.
  • Representation of executive in an SEC investigation and subsequent federal litigation concerning fraudulent EB-5 program.
  • Representation of broker-dealer in DOJ asset forfeiture matter.
  • Representation of broker dealer with respect to issues related compliance with FINRA and SRO rules governing supervision, TFCE examinations, option order ticket marking, prospectus delivery, Regulation M reporting, and compliance with books and records rules.
  • Representation of broker-dealer in connection with responding to FINRA’s sweep into retail options practices.
  • Representation of broker-dealer and financial advisors in FINRA investigation into mutual fund surveillance, sales practices, and procedures.
  • Representation of broker-dealer in a FINRA Enforcement action related to supervision and controls regarding journals of new issue products from brokerage to advisory accounts.
  • Representation of broker-dealer in an SEC Enforcement investigation into misrepresentations made by an investment advisor, which resulted in no charges being brought.

Litigation

  • Representation of individuals in litigation alleging securities and common law fraud.
  • Representation of bank in connection with breach of contract claim.
  • Representation of healthcare and telecommunications companies in Freedom of Information Law (“FOIL”) litigation.

Cross Border Investigations

  • Conducted Foreign Corrupt Practices Act compliance review of multinational automobile manufacturer related to one of its foreign subsidiaries.
  • Conducted assessment of investigations arm of a multinational automobile manufacturer with respect to compliance with the DOJ’s Evaluation of Corporate Compliance Programs (ECCP).
  • Representation of a foreign client in connection with allegations of bribery and collusion by a development bank.
  • Counsel corporate clients on compliance with the Foreign Corrupt Practices Act.

Internal Investigations

  • Representation of broker-dealers with respect to internal investigations and regulatory disclosure of errors in the firm’s securities trading reports.
  • Representation of financial institutions in confidential investigations and inquiries.

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