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People
M. Alexander
Koch
(Alec)
Partner
Securities Enforcement and Regulation
/ Special Matters and Government Investigations
Alec Koch specializes in representing public companies, financial institutions, and individuals in securities enforcement investigations. Alec also regularly conducts internal investigations on behalf of board committees and companies, advises clients on regulatory compliance and corporate governance issues, and is a member of our firm's Financial Services leadership team. A partner in our Special Matters and Government 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. He has been ranked by Chambers USA, which wrote that Alec has "broad market approval for his enforcement-side practice" and was described by sources as "an extraordinary lawyer."
From 2002 to 2016, Alec was a member of the SEC’s Division of Enforcement, where he 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.
Prior to joining the SEC, Alec was an associate at King & Spalding from 1997-2002. He rejoined the firm in 2016.
Credentials
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English
Close
Recognition
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 Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
In the News · Source: Law.com and Law360
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
In the News · Source: Anti-Corruption Report
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
Matters
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
See more
Close
Matters
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.
Representing the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.
Representing 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.
Insights
Client Alert
January 15, 2020
SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and Broker-Dealers
Client Alert
October 31, 2019
Regulation Best Interest: Updates and Developments
Client Alert
October 10, 2019
Messages for Public Companies from the SEC’s Spate of September Enforcement Actions
News
In the News · Source: The Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
In the News · Source: Law.com and Law360
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
In the News · Source: Anti-Corruption Report
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
Matters
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
See more
Close
Matters
Representing the audit committee of a public biopharmaceutical company in an internal investigation and related government investigations into allegations of accounting fraud and whistleblower retaliation.
Representing a public company provider of services to the healthcare industry in an SEC investigation of earnings-related disclosures.
Representing a public pharmaceutical company in an SEC investigation of potential selective disclosures and Reg FD violations.
Representing an international chemical company in anti-corruption investigations being conducted by U.S. and Dutch authorities.
Representing the independent directors of a public company in connection with an SEC investigation of earnings-related disclosures.
Representing 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.
Insights
Client Alert
January 15, 2020
SEC Examination Priorities for 2020 Include Both Emerging and Existing Concerns for Registered Investment Advisers and Broker-Dealers
Client Alert
October 31, 2019
Regulation Best Interest: Updates and Developments
Client Alert
October 10, 2019
Messages for Public Companies from the SEC’s Spate of September Enforcement Actions
News
In the News · Source: The Pink Sheet
December 14, 2019
Alec Koch explains if Sarepta Therapeutics needed to tell investors about its Vyondys 53 dispute resolution request
In the News · Source: Law.com and Law360
August 20, 2019
Alec Koch advises TherapeuticsMD on a settlement agreement with the SEC
In the News · Source: Anti-Corruption Report
May 15, 2019
Alec Koch discusses why Telefônica’s settlement demonstrates the dangers of lavish hospitality programs
Credentials
J.D., Georgetown University Law Center, cum laude
B.A. History, University of Virginia, Dean's List
District of Columbia
English
Close
Recognition
Recognized for "broad market approval for his enforcement-side practice" and described as "an extraordinary lawyer." - Chambers USA, Securities Regulation: Enforcement
USA - Nationwide