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.
Toronto-Dominion Centre, Suite 3100
77 King Street West
P.O. Box 226
Toronto, ON M5K 1J3
Unit 5201, Fortune Financial Center
Five Dongsanhuan Zhonglu
86 10 5828 6300
Hong Kong Club Building, 12th Floor
3-A Chater Road, Central
852 2846 0300
Fukoku Seimei Building 2F
2-2, Uchisaiwaicho 2-chome
81 3 3597 8101
10 Noble Street
London EC2V 7JU
44 20 7367 1600
500 Delaware Avenue, Suite 200
P.O. Box 32
Wilmington, DE 19899-0032
District of Columbia
District of Columbia
2001 K Street, NW
Washington, DC 20006-1047