Carmen Lawrence

Special Matters and Investigations practice and co-lead of our Securities Enforcement and Regulation practice, Carmen represents public and private companies in a range of securities-related regulatory and business matters.

 

Carmen represents parties in investigations and litigation conducted primarily by the Securities and Exchange Commission, the Commodity Futures Trading Commission and the U.S. Department of Justice, as well as self-regulatory organizations and state securities regulators. She conducts internal investigations, provides crisis management advice, and counsels companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities law.

 

Previously, Carmen was Regional Director for the SEC's Northeast Regional Office, the agency's largest region covering 14 U.S. states and the District of Columbia. In this role, she oversaw all enforcement and regulatory operations in the region, bringing some of the SEC's most significant cases. Prior to that, she was Senior Associate Regional Director, heading up the Northeast Regional Office's Enforcement Division after serving in senior and staff roles.

 

Ms. Lawrence is a frequent speaker and lecturer in continuing legal education programs on federal securities matters.