Head of White-Collar and Co-Head of RISC
Norton Rose Fulbright US LLP
Kevin Harnisch is Head of White-Collar and Co-Head of Regulation, Investigations, Securities and Compliance (RISC), United States. Kevin litigates before the SEC, FINRA and other self-regulatory organizations, the Department of Justice, the CFTC, US attorney's offices, and federal courts. He handles matters relating to securities enforcement defense, internal investigations, anti-corruption issues, and represents corporations and their directors and officers, broker-dealers, hedge funds, private equity funds, and investment banks.
Kevin served as a Branch Chief in the Division of Enforcement of the SEC, where he led cases regarding financial fraud, market manipulation, insider trading, the Foreign Corrupt Practices Act (FCPA), and municipal bond offerings. He has authored numerous articles, and he frequently lectures on federal securities law and anti-corruption issues. He has experience defending public companies in a wide array of SEC, DOJ and other government agency investigations. Those investigations often pertain to such issues as the accuracy of financial statements, undisclosed related party transactions, the adequacy of internal controls, the FCPA and other anti-corruption laws, responses to whistleblowers, and potential insider trading.
Recent Articles & Comments
It is noteworthy that the DOJ considered the period of the company's misconduct in assessing the fine. Further, the DOJ required the company to enter a plea, rather than seeking a lesser disposition such as a Deferred Prosecution Agreement. (The company’s prior resolution with the Swiss authorities for alleged corruption may have affected the DOJ’s posture in this regard.) That said, the DOJ did give the company some reduction in the fine as a result of its cooperation and remediation.…