Walter G. Ricciardi
Recognized in:Corporate Governance LawLitigation - Securities...
Location:1285 Avenue of the AmericasNew York, NY 10019-6064
- New York, State of New York
Recognized in The Best Lawyers in America for work in:
- Corporate Governance Law
- Litigation - Securities
- Securities Regulation
Walter has served as lead counsel on the following regulatory defense matters:
- Representation of several major accounting firms in connection with investigations by the SEC and PCAOB related to independence, audit and financial statement issues.
- Representation of a global financial institution and its investment management company in connection with investigations by the SEC and Massachusetts Securities Division into the pricing by a mutual fund of mortgage-backed securities.
- Representation of a global financial institution in connection with investigations by the SEC, the New York Attorney General's Office, the Financial Crisis Inquiry Commission and the Senate Permanent Subcommittee on Investigations into collateralized debt obligation marketing practices.
- Representation of a global financial institution in connection with an investigation by the SEC in connection with auctions to liquidate collateralized debt obligation.
- Representation of a business development company in connection with an investigation by the SEC of valuation issues.
- Representation of an electronic trading firm and market maker in connection with an investigation by the SEC and NYAG of trading practices.
- Representation of a hedge fund adviser in connection with an investigation by the SEC of "pay to play" issues.
- Representation of several private equity and hedge fund advisers in connection with SEC investigations and examinations by the SEC's Office of Compliance, Inspections and Examinations.
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District of Columbia
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