People
Partner
Securities Enforcement and Regulation
/ Special Matters and Government Investigations
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.
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
November 8, 2024
Securities Docket Names Five King & Spalding Partners to its “Enforcement Elite” List
October 9, 2024
Benchmark Litigation Recognizes King & Spalding as a Leading Litigation Firm
August 14, 2024
Benchmark Litigation Names Five King & Spalding Partners to its List of Top 250 Women in Litigation
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
November 26, 2024
SEC Enforcement Fiscal Year 2024 Results – A Look Behind the Numbers
May 23, 2024
Request for Comments on FinCEN and SEC rule on CIP
March 4, 2024
SEC Broadens Definition of ‘Dealer’
November 8, 2024
Securities Docket Names Five King & Spalding Partners to its “Enforcement Elite” List
October 9, 2024
Benchmark Litigation Recognizes King & Spalding as a Leading Litigation Firm
August 14, 2024
Benchmark Litigation Names Five King & Spalding Partners to its List of Top 250 Women in Litigation
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
November 26, 2024
SEC Enforcement Fiscal Year 2024 Results – A Look Behind the Numbers
May 23, 2024
Request for Comments on FinCEN and SEC rule on CIP
March 4, 2024
SEC Broadens Definition of ‘Dealer’
November 8, 2024
Securities Docket Names Five King & Spalding Partners to its “Enforcement Elite” List
October 9, 2024
Benchmark Litigation Recognizes King & Spalding as a Leading Litigation Firm
August 14, 2024
Benchmark Litigation Names Five King & Spalding Partners to its List of Top 250 Women in Litigation
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