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Ivan B. Knauer

Ivan B. Knauer

Partner| Salt Lake City|Washington, D.C.


Ivan Knauer focuses his practice on securities litigation and enforcement. He represents public companies, broker-dealers, investment companies, investment advisers and individuals in class actions and arbitrations, and in enforcement matters brought by the SEC, FINRA and other regulatory bodies. As a former enforcement attorney at FINRA and the SEC, Ivan also counsels financial institutions on regulatory compliance matters.

Ivan is licensed to practice only in New York and the District of Columbia.

 

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  • Served as securities litigation counsel and counsel to the Receiver in an SEC enforcement action and receivership involving over 50 corporate entities; facilitated a global resolution of related enforcement matters by the CFPB and state attorneys general
  • Represented a Russian bank and its U.K. subsidiary in connection with a CFTC investigation regarding trading in currency futures
  • Represented the head trader of a U.K.-based bank in connection with a DOJ investigation regarding possible antitrust violations arising from foreign exchange trading
  • Represented several dual registrants (B-D/IA) in connection with investigations by the SEC, FINRA and various state regulators concerning alternative investments, complex products, illiquid investments, and the duties owed under different regulatory regimes
  • Acted as special investigative counsel to trustee in bankruptcy matter
  • Represented the head trader of a broker-dealer in a FINRA investigation regarding Reg SHO
  • Represented several branch managers in FINRA investigations regarding possible failure to supervise
  • Represented the broker-dealer affiliate of a large insurance company in a FINRA arbitration regarding the sale of a variable life insurance policy
  • Represented the chairman of a public company in connection with an SEC investigation regarding possible insider trading in company stock
  • Represented a hedge fund and its president in litigation against the SEC in a case alleging late trading and market timing of mutual funds, culminating in a seventeen day trial in federal court in New York
  • Represented a broker at trial against FINRA in a matter involving trading in accounts held away from his firm
  • Wrote amici curiae brief for client in appeal to the Second Circuit
  • Represented large investors seeking to recover money invested in alleged Ponzi schemes
  • Served as an expert witness in a federal court action involving Sarbanes-Oxley (U.S. Dist. Ct., MD)
  • Conducted an internal investigation on behalf of the audit committee of a public company regarding allegations made by a whistleblower that the company president made false and misleading statements at an analysts’ conference
  • Conducted an internal investigation of a broker-dealer regarding possible insider trading based on confidential information about the departure of a profitable trading desk
  • Conducted an internal investigation on behalf of the audit committee of a bank regarding alleged insider trading by one or more board members
  • Conducted an internal investigation regarding possible insider trading at a broker-dealer due to a potential breach of “Chinese Wall” procedures
  • Represented a former president of a broker-dealer in an SEC administrative trial involving whether the individual violated the terms of a prior suspension order imposed by the SEC
  • Represented several brokers and their branch manager in connection with an NASD investigation regarding possible unsuitable sales of CMOs; the staff declined to pursue the matter after testimony and meetings with the staff
  • Represented an investment adviser and its officers in connection with an SEC investigation regarding whether the adviser complied with its fiduciary duty when allocating shares of “hot” initial public offerings to its clients
  • Represented an options dealer in connection with an SEC investigation regarding interpositioning of trades on regional exchanges
  • Represented a branch manager of a broker-dealer in connection with an SEC investigation regarding market timing and late trading; the staff declined to pursue the matter after receiving a Wells Submission
  • Represented a mutual fund complex and a portfolio manager in connection with an SEC investigation regarding market timing and late trading
  • Represented a mutual fund complex in connection with an SEC investigation regarding revenue sharing
  • Represented the independent directors of a government-sponsored mortgage enterprise in a securities class action complaint
  • Represented a public company and its inside directors in a securities class action complaint alleging improper use of the percentage of completion method of accounting to recognize revenue
  • Represented mutual funds in a securities class action alleging improper valuations of senior secured floating-rate loans in a mutual fund portfolio
  • Represented a high-yield bond fund in a securities class action complaint alleging failure to disclose risks in the fund's prospectus
  • Represented a broker-dealer and sponsor of a wrap fee mutual fund program in an AAA arbitration against a sub-adviser regarding each party's fiduciary duty vis à vis the client with respect to participation in a tender offer for a foreign security
  • New York University School of Law (J.D., 1989)
  • University of Pennsylvania (B.A., Biology, 1983)
  • Association of Securities and Exchange Commission Alumni (ASECA) (1998-present)
  • Securities Industry and Financial Markets Association (SIFMA) (1998-present)
  • National Society of Compliance Professionals (NSCP) (1999-present)
  • "Three Lines of Defense: A Risk Governance Framework," Panelist, BISA Regulatory & Compliance Summit (November 14, 2017)
  • "SEC Enforcement in the Trump Era," Panelist, PACDL White Collar Practice Seminar (November 2, 2017)
  • "Challenges Faced by Dual Registrants (Broker-Dealers and Investment Advisers," Panelist, NSCP National Conference (October 17, 2016)
  • "Risk Assessment in Securities and Banking Industries under SEC Rule 17-H," Panelist, BISA One Source (August 13, 2015)
  • "Private Equity and the SEC: A Brave New World of Scrutiny and Compliance," Co-Author, Mondaq, MCCA (May 22, 2014)
  • "Securities and Exchange Commission Creates New Private Fund Unit Dedicated to Examination of Private Equity and Hedge Funds," Co-Author, Mondaq, MCCA (April 10, 2014)
  • Pepper Hamilton LLP, Partner (2008-2018)
  • Financial Industry Regulatory Authority (FINRA), Department of Enforcement, Vice President and Managing Trial Counsel (2005-2008)
  • Pepper Hamilton LLP, Partner (2003-2005)
  • Kirkpatrick & Lockhart LLP, Partner (2001-2003)
  • Kirkpatrick & Lockhart LLP, Associate (1998-2001)
  • Securities and Exchange Commission, Enforcement Division, Senior Counsel (1995-1998)
  • Ropes & Gray LLP, Associate (1989-1995)
  • District of Columbia
  • New York
  • Massachusetts (inactive)
  • United States Supreme Court
  • United States Court of Appeals, District of Columbia Circuit
  • United States Court of Appeals, First Circuit
  • United States District Court, District of Columbia
  • United States District Court, Southern District of New York
  • United States District Court, District of Massachusetts
  • Superior Court of the District of Columbia
  • Supreme Court of New York