People
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.
Prior to joining FINRA, Richard spent over twelve years in private practice where he litigated, both in state and federal courts, numerous complex class actions in the fields of securities, consumer financial services, mergers and acquisitions and corporate governance. During that time, Richard served as lead counsel in matters involving violations of the federal securities laws, breaches of fiduciary duty, insider trading, market manipulation, improper financial reporting and accounting fraud.
M.B.A., New York University
J.D., New York Law School
B.S., Lehigh University
New York
U.S. District Court for the Eastern District of New York
U.S. District Court for the Southern District of New York
May 3, 2019
Richard Margolies discusses FINRA's first self-reporting initiative―college 529-plan violations
October 31, 2019
Regulation Best Interest: Updates and Developments
August 28, 2019
Dream On—FINRA Issues Its First Litigated Enforcement Action Against a Crowdfunding Portal
July 12, 2019
Above and Beyond: FINRA Clarifies Its Approach to Assessing Extraordinary Cooperation
May 3, 2019
Richard Margolies discusses FINRA's first self-reporting initiative―college 529-plan violations
October 31, 2019
Regulation Best Interest: Updates and Developments
August 28, 2019
Dream On—FINRA Issues Its First Litigated Enforcement Action Against a Crowdfunding Portal
July 12, 2019
Above and Beyond: FINRA Clarifies Its Approach to Assessing Extraordinary Cooperation
May 3, 2019
Richard Margolies discusses FINRA's first self-reporting initiative―college 529-plan violations
M.B.A., New York University
J.D., New York Law School
B.S., Lehigh University
New York
U.S. District Court for the Eastern District of New York
U.S. District Court for the Southern District of New York