People

Alec Koch specializes in defending public companies, regulated entities, and individuals in government investigations, with a particular focus on securities enforcement. A partner in our Special Matters and Investigations practice and a former Assistant Director in the Securities and Exchange Commission's Division of Enforcement, Alec represents clients before the SEC, the Department of Justice, and other regulatory authorities. Alec also regularly conducts internal investigations and advises clients on regulatory compliance and corporate governance issues.

From 2002 to 2016, Alec was a member of the SEC’s Division of Enforcement, where he supervised, conducted, and litigated investigations and enforcement actions of all types, including matters involving: regulated entities such as broker-dealers, credit rating agencies, and investment advisers; public company accounting and disclosure; the Foreign Corrupt Practices Act; whistleblowers; insider trading; securities offerings; and microcap fraud. Throughout his time at the SEC, Alec had significant responsibility for the SEC’s obligations under the landmark Global Research Analyst Settlement. He also served as one of the liaisons between the Division of Enforcement and the SEC’s Office of Credit Ratings. In these roles, he collaborated frequently with the SEC's other divisions and offices, as well as with FINRA, federal criminal authorities, and state and foreign securities regulators.

While at the SEC, Alec was a member of the Division of Enforcement’s Broker-Dealer Task Force Steering Committee, which was responsible for developing and overseeing investigative initiatives regarding broker-dealers. He also served as the co-chair of the Division of Enforcement’s Priorities and Resources Subcommittee. In that role, Alec helped to conduct a review to evaluate and make recommendations concerning the Division’s priorities and allocation of resources. He served as a member of the Enforcement Division’s Hiring Committee and received the SEC's Capital Markets Award in 2004, as well as numerous Division Director Awards.

Since 2017, Alec has served on the board of directors of the Ethics Research Center, an arm of the Ethics & Compliance Initiative, a non-profit organization that works to assist public companies and other institutions with building strong ethics and compliance cultures and programs. 

Prior to joining the SEC, Alec was an associate at King & Spalding from 1997-2002. He rejoined the firm in 2016.

Full Bio

Matters

Representing the audit committee of a public company in an internal investigation and related government investigations into more than 20 separate allegations of misconduct relating to accounting fraud and whistleblower retaliation.

Defending one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.

Representing an investment adviser in an SEC investigation of potential disclosure and valuation issues.

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Matters

Representing the audit committee of a public company in an internal investigation and related government investigations into more than 20 separate allegations of misconduct relating to accounting fraud and whistleblower retaliation.

Defending one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.

Representing an investment adviser in an SEC investigation of potential disclosure and valuation issues.

Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.

Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.

Representing a public electrical utility in an SEC investigation of the utility’s historical bond offerings.

Representing a public software company in an SEC investigation of potential accounting and disclosure issues.

Representing an international chemical company in an international anti-corruption internal investigation and related compliance counseling.

Defended a major U.S. law firm and several of its partners and employees in an SEC investigation concerning the activities of the firm’s former client, an asset manager.

Matters

Representing the audit committee of a public company in an internal investigation and related government investigations into more than 20 separate allegations of misconduct relating to accounting fraud and whistleblower retaliation.

Defending one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.

Representing an investment adviser in an SEC investigation of potential disclosure and valuation issues.

See more
Icon close

Close

Matters

Representing the audit committee of a public company in an internal investigation and related government investigations into more than 20 separate allegations of misconduct relating to accounting fraud and whistleblower retaliation.

Defending one of the world’s largest banks in a DOJ investigation pursuant to the Financial Institutions Reform, Recovery, and Enforcement Act concerning the origination and sale of residential mortgage-backed securities during the years leading up to the financial crisis.

Representing an investment adviser in an SEC investigation of potential disclosure and valuation issues.

Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.

Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.

Representing a public electrical utility in an SEC investigation of the utility’s historical bond offerings.

Representing a public software company in an SEC investigation of potential accounting and disclosure issues.

Representing an international chemical company in an international anti-corruption internal investigation and related compliance counseling.

Defended a major U.S. law firm and several of its partners and employees in an SEC investigation concerning the activities of the firm’s former client, an asset manager.

Credentials

J.D., Georgetown University Law Center, cum laude

B.A. History, University of Virginia, Dean's List

English