As a former attorney with the SEC’s Division of Enforcement, Kathleen brings a deep understanding of the federal laws and government processes for clients facing regulatory and white collar investigations. She has secured more than 25 declinations to prosecute from the SEC and the DOJ. She also has experience before a host of other agencies and regulators, including FINRA, the FDA, the FCC, as well as number of state agencies. Companies, funds, investment advisors, municipalities, and executives rely on the trust she has built with regulators and her ability to interact with government agencies to negotiate a successful outcome. Using her streamlined, careful approach, she has defended clients against accusations of fraud, accounting and disclosure discrepancies, insider trading, breaches of the FCPA, and violations of the Federal Anti-Kickback statute. Kathleen has significant experience representing clients involved in blockchain and cryptocurrency investigations by the SEC and the DOJ.
Kathleen M. Marcus
- Partner
- Co-Chair, Enforcement Defense Investigations Practice
Chair, Compliance & Corporate Governance Practice
Member, Board of Directors - Newport Beach
Experience
Credentials
Education
- University of Michigan, J.D., cum laude, 1998
- University of Michigan, B.A., 1995
Memberships
- American Bar Association
- Orange County Bar Association
- Past Director, Association for Corporate Growth
Bar Admissions
- California
- District of Columbia