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SEC Enforcement of Trading in Pre-IPO Securities


Speaker(s): Catherine D. Kevane, Michael S. Dicke
Recorded on: Oct. 14, 2015
PLI Program #: 162192

Mike Dicke is a partner in Fenwick’s litigation practice group and is the co-chair of the firm’s Securities Enforcement group. His practice focuses on conducting internal investigations for public company boards and audit committees, and the representation of individuals and entities in SEC, Department of Justice, and other law enforcement and regulatory investigations and litigation.  Mike is recognized by Securities Docket as one of the 40 best securities enforcement attorneys in the nation, and is recommended in the current editions of Best Lawyers in America and the Legal 500. 

Prior to joining Fenwick & West, Mike served as the Associate Regional Director for Enforcement in the SEC’s San Francisco’s regional office, from 2008 to 2014. As head of enforcement for the region, Mike oversaw all of the office’s attorneys and accountants in the investigation and litigation of federal securities law violations in six states. While at the SEC, Mike conducted and supervised hundreds of investigations and litigation involving financial reporting and accounting fraud, the Foreign Corrupt Practices Act (FCPA), insider trading, offering frauds, and misconduct by investment advisers, investment companies, and broker-dealers.


Catherine Kevane focuses her practice on defending issuers, officers, directors, underwriters and venture capital firms in shareholder class actions and derivative litigation throughout the country. She also represents companies and individuals in investigations brought by the Securities and Exchange Commission and Department of Justice.

REPRESENTATIVE CLIENTS

Cisco Systems
GE InVision
Siebel
Symantec

SERVICES

Practices

Litigation
Securities Enforcement
Securities Litigation
White Collar & Regulatory Defense

Industries

Hardware
Internet
Software

EDUCATION & BAR MEMBERSHIP

J.D., University of California, Berkeley, School of Law (Boalt Hall), 2001
 
B.A., Barnard College, 1994
magna cum laude
 
Member of the State Bar of California