Richard B.
Margolies
(Rich)

Richard Margolies, a partner in King & Spalding's Government Matters practice, has extensive experience in complex government and regulatory investigations, enforcement actions, securities and accounting violations and compliance procedures.  As a former Senior Counsel in FINRA's Department of Enforcement, Richard handled numerous matters concerning securities fraud, conversion, market manipulation, mutual funds, unlicensed sale of securities, private securities transactions, outside business activities, suitability, Regulation S-P, anti-money laundering, corporate finance, and advertising regulations. Richard also served as lead counsel for Enforcement in a litigated matter involving novel issues pertaining to foreign investment through the United States EB-5 program.