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Alec Koch specializes in representing public companies, financial institutions, boards of directors, and individuals in securities enforcement and anti-corruption investigations.  Alec also regularly conducts internal investigations on behalf of board committees and companies, and advises clients on regulatory compliance and corporate governance issues. A co-leader of our Securities Enforcement and Regulation 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. 

At the SEC, Alec supervised investigations 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; insider trading; and securities offerings. 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 a member of the Division of Enforcement’s Broker-Dealer Task Force, as the co-chair of the Division of Enforcement’s Priorities and Resources Subcommittee, and as a liaison between the Division of Enforcement and the SEC’s Office of Credit Ratings.

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. 

He has been ranked by Chambers USA, which wrote that Alec has "broad market approval for his enforcement-side practice." 

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

Full Bio

Credentials

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

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

District of Columbia

English

Top Ranked Lawyer, Securities: Regulation: Enforcement


Chambers USA, Nationwide (2019-2022)

Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer."


Chambers USA, Securities Regulation: Enforcement - USA - Nationwide

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Recognition

Top Ranked Lawyer, Securities: Regulation: Enforcement


Chambers USA, Nationwide (2019-2022)

Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer."


Chambers USA, Securities Regulation: Enforcement - USA - Nationwide

News

In the News · Source: The Wall Street Journal, Law360, The Washington Post, Bloomberg Law, InfoRiskToday, Investing, Midnight Trader Live Briefs, The American Lawyer, Global Investigations Review and New York Law Journal

October 30, 2023
Alec Koch and Mike Biles advise Timothy Brown, Chief Information Security Officer at SolarWinds, in a cybersecurity risk disclosure dispute with the SEC before a New York federal court

In the News · Source: Hedge Fund Law Report

June 8, 2023
Alec Koch explored SEC issues in the regulatory oversight of private funds

View all

Matters

Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.

Representing a global manufacturing company in an SEC investigation of potential FCPA violations in South America.

Representing the Audit Committee of a space infrastructure development company in an independent investigation of accounting and employment allegations raised by a former employee.

See more

Close

Matters

Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.

Representing a global manufacturing company in an SEC investigation of potential FCPA violations in South America.

Representing the Audit Committee of a space infrastructure development company in an independent investigation of accounting and employment allegations raised by a former employee.

Representing a global manufacturing company in an SEC investigation concerning air emissions-related issues.

Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.

Represented the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.

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

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

Represented the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.

Represented the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.

Represented the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.

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

Defended 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.

Represented the audit committee of a public media analytics company in an internal investigation and related government investigations into more than 20 separate allegations of accounting fraud and whistleblower retaliation.

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.

News

In the News · Source: The Wall Street Journal, Law360, The Washington Post, Bloomberg Law, InfoRiskToday, Investing, Midnight Trader Live Briefs, The American Lawyer, Global Investigations Review and New York Law Journal

October 30, 2023
Alec Koch and Mike Biles advise Timothy Brown, Chief Information Security Officer at SolarWinds, in a cybersecurity risk disclosure dispute with the SEC before a New York federal court

In the News · Source: Hedge Fund Law Report

June 8, 2023
Alec Koch explored SEC issues in the regulatory oversight of private funds

View all

Matters

Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.

Representing a global manufacturing company in an SEC investigation of potential FCPA violations in South America.

Representing the Audit Committee of a space infrastructure development company in an independent investigation of accounting and employment allegations raised by a former employee.

See more

Close

Matters

Representing a multinational healthcare company in connection with its continuing self-reporting obligations under an FCPA settlement with the DOJ and SEC.

Representing a global manufacturing company in an SEC investigation of potential FCPA violations in South America.

Representing the Audit Committee of a space infrastructure development company in an independent investigation of accounting and employment allegations raised by a former employee.

Representing a global manufacturing company in an SEC investigation concerning air emissions-related issues.

Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.

Represented the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.

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

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

Represented the independent directors of a commercial flooring company in an SEC investigation of earnings-related disclosures.

Represented the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.

Represented the CEO of a healthcare logistics company in SEC and DOJ investigations of the company's disclosures concerning PPE transactions.

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

Defended 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.

Represented the audit committee of a public media analytics company in an internal investigation and related government investigations into more than 20 separate allegations of accounting fraud and whistleblower retaliation.

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.

News

In the News · Source: The Wall Street Journal, Law360, The Washington Post, Bloomberg Law, InfoRiskToday, Investing, Midnight Trader Live Briefs, The American Lawyer, Global Investigations Review and New York Law Journal

October 30, 2023
Alec Koch and Mike Biles advise Timothy Brown, Chief Information Security Officer at SolarWinds, in a cybersecurity risk disclosure dispute with the SEC before a New York federal court

In the News · Source: Hedge Fund Law Report

June 8, 2023
Alec Koch explored SEC issues in the regulatory oversight of private funds

View all

Credentials

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

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

District of Columbia

English

Top Ranked Lawyer, Securities: Regulation: Enforcement


Chambers USA, Nationwide (2019-2022)

Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer."


Chambers USA, Securities Regulation: Enforcement - USA - Nationwide

Close

Recognition

Top Ranked Lawyer, Securities: Regulation: Enforcement


Chambers USA, Nationwide (2019-2022)

Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer."


Chambers USA, Securities Regulation: Enforcement - USA - Nationwide