People

Carmen Lawrence focuses on securities-related government investigations and litigation. As a partner in our Special Matters and Investigations practice and co-lead of our Securities Enforcement and Regulation practice, Carmen represents public and private companies in a range of securities-related regulatory and business matters.

Carmen represents parties in investigations and litigation conducted primarily by the Securities and Exchange Commission, the Commodity Futures Trading Commission and the U.S. Department of Justice, as well as self-regulatory organizations and state securities regulators. She conducts internal investigations, provides crisis management advice, and counsels companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities law.

Previously, Carmen was Regional Director for the SEC's Northeast Regional Office, the agency's largest region covering 14 U.S. states and the District of Columbia. In this role, she oversaw all enforcement and regulatory operations in the region, bringing some of the SEC's most significant cases. Prior to that, she was Senior Associate Regional Director, heading up the Northeast Regional Office's Enforcement Division after serving in senior and staff roles.

Carmen is a frequent speaker and lecturer in continuing legal education programs on federal securities matters. She has received consistent recognition from Chambers USA as a Leading Individual for Securities Regulation and for Litigation—White-Collar Crime & Government Investigations, as well as for Financial Services Litigation.

In 2016, Legal 500 ranked Carmen for Securities Litigation—Defense. She has also been recognized by Benchmark Litigation as a New York Litigation Star, and was named to Securities Docket's inaugural Enforcement 40 list of top SEC enforcement lawyers in 2013.

Full Bio

Credentials

New York

Co-chair, Subcommittee on SEC Enforcement and Civil Litigation, American Bar Association, Business Law Section

Fellow, Litigation Counsel of America, The Trial Lawyer Honorary Society

Band 3: Nationwide Securities Regulation and Enforcement


Chambers USA

Top 250 Women in Litigation and a Local Litigation Star, NY


Benchmark Litigation

National White-Collar Litigation Star


Benchmark Litigation, 2015

Top 40 SEC Enforcement Defense Lawyers


Securities Docket

Financial Services: Litigation and White-Collar Criminal Defense


Legal 500

Administrative/Regulatory Law and Criminal Defense: White Collar


The Best Lawyers in America, 2014–2015

Equal Employment Opportunity Award


The Securities and Exchange Commission, 1998

Presidential Distinguished Executive Award


The Securities and Exchange Commission, 1995

Stanley Sporkin Award


The Securities and Exchange Commission, 1993

Irving M. Pollack Award, for leadership, integrity and intellect


The Securities and Exchange Commission, 1990

Icon close

Close

Recognition

Band 3: Nationwide Securities Regulation and Enforcement


Chambers USA

Top 250 Women in Litigation and a Local Litigation Star, NY


Benchmark Litigation

National White-Collar Litigation Star


Benchmark Litigation, 2015

Top 40 SEC Enforcement Defense Lawyers


Securities Docket

Financial Services: Litigation and White-Collar Criminal Defense


Legal 500

Administrative/Regulatory Law and Criminal Defense: White Collar


The Best Lawyers in America, 2014–2015

Equal Employment Opportunity Award


The Securities and Exchange Commission, 1998

Presidential Distinguished Executive Award


The Securities and Exchange Commission, 1995

Stanley Sporkin Award


The Securities and Exchange Commission, 1993

Irving M. Pollack Award, for leadership, integrity and intellect


The Securities and Exchange Commission, 1990

Matters

Represented a major financial institution in a multiyear investigation by the SEC and foreign regulators involving credit derivatives trading, risk management and valuation practices.

Represented an investment advisor and its CEO and fund manager in connection with stock manipulation and insider trading investigations by the SEC, the DOJ, the Hong Kong Securities and Futures Commission, and the Japan Securities and Exchange Surveillance Commission.

Represented an SEC-registered credit rating agency in connection with industry-wide investigations being conducted by the SEC and the New York Attorney General concerning potential ratings shopping.

See more
Icon close

Close

Matters

Represented a major financial institution in a multiyear investigation by the SEC and foreign regulators involving credit derivatives trading, risk management and valuation practices.

Represented an investment advisor and its CEO and fund manager in connection with stock manipulation and insider trading investigations by the SEC, the DOJ, the Hong Kong Securities and Futures Commission, and the Japan Securities and Exchange Surveillance Commission.

Represented an SEC-registered credit rating agency in connection with industry-wide investigations being conducted by the SEC and the New York Attorney General concerning potential ratings shopping.

Represented the audit committee of a public company in a sweeping internal investigation involving complex accounting and internal control issues.

Represented a state's Department of the Treasury in connection with an SEC investigation involving disclosures in the state's municipal bond offerings.

Represented numerous senior executives in SEC and/or DOJ investigations involving insider trading, financial fraud, FCPA, and broker-dealer or investment advisor regulatory issues.

Matters

Represented a major financial institution in a multiyear investigation by the SEC and foreign regulators involving credit derivatives trading, risk management and valuation practices.

Represented an investment advisor and its CEO and fund manager in connection with stock manipulation and insider trading investigations by the SEC, the DOJ, the Hong Kong Securities and Futures Commission, and the Japan Securities and Exchange Surveillance Commission.

Represented an SEC-registered credit rating agency in connection with industry-wide investigations being conducted by the SEC and the New York Attorney General concerning potential ratings shopping.

See more
Icon close

Close

Matters

Represented a major financial institution in a multiyear investigation by the SEC and foreign regulators involving credit derivatives trading, risk management and valuation practices.

Represented an investment advisor and its CEO and fund manager in connection with stock manipulation and insider trading investigations by the SEC, the DOJ, the Hong Kong Securities and Futures Commission, and the Japan Securities and Exchange Surveillance Commission.

Represented an SEC-registered credit rating agency in connection with industry-wide investigations being conducted by the SEC and the New York Attorney General concerning potential ratings shopping.

Represented the audit committee of a public company in a sweeping internal investigation involving complex accounting and internal control issues.

Represented a state's Department of the Treasury in connection with an SEC investigation involving disclosures in the state's municipal bond offerings.

Represented numerous senior executives in SEC and/or DOJ investigations involving insider trading, financial fraud, FCPA, and broker-dealer or investment advisor regulatory issues.

Credentials

New York

Co-chair, Subcommittee on SEC Enforcement and Civil Litigation, American Bar Association, Business Law Section

Fellow, Litigation Counsel of America, The Trial Lawyer Honorary Society

Band 3: Nationwide Securities Regulation and Enforcement


Chambers USA

Top 250 Women in Litigation and a Local Litigation Star, NY


Benchmark Litigation

National White-Collar Litigation Star


Benchmark Litigation, 2015

Top 40 SEC Enforcement Defense Lawyers


Securities Docket

Financial Services: Litigation and White-Collar Criminal Defense


Legal 500

Administrative/Regulatory Law and Criminal Defense: White Collar


The Best Lawyers in America, 2014–2015

Equal Employment Opportunity Award


The Securities and Exchange Commission, 1998

Presidential Distinguished Executive Award


The Securities and Exchange Commission, 1995

Stanley Sporkin Award


The Securities and Exchange Commission, 1993

Irving M. Pollack Award, for leadership, integrity and intellect


The Securities and Exchange Commission, 1990

Icon close

Close

Recognition

Band 3: Nationwide Securities Regulation and Enforcement


Chambers USA

Top 250 Women in Litigation and a Local Litigation Star, NY


Benchmark Litigation

National White-Collar Litigation Star


Benchmark Litigation, 2015

Top 40 SEC Enforcement Defense Lawyers


Securities Docket

Financial Services: Litigation and White-Collar Criminal Defense


Legal 500

Administrative/Regulatory Law and Criminal Defense: White Collar


The Best Lawyers in America, 2014–2015

Equal Employment Opportunity Award


The Securities and Exchange Commission, 1998

Presidential Distinguished Executive Award


The Securities and Exchange Commission, 1995

Stanley Sporkin Award


The Securities and Exchange Commission, 1993

Irving M. Pollack Award, for leadership, integrity and intellect


The Securities and Exchange Commission, 1990