Kenneth P. Herzinger

SEC and Regulatory: A former SEC Enforcement Division attorney, Ken has successfully defended corporations, officers and directors, financial institutions, broker-dealers, investment advisers, auditors, government officials and municipalities in dozens of investigations and enforcement proceedings by the SEC, the U.S. Attorney’s Office, the CFTC, the Public Company Accounting Oversight Board (PCAOB), State Attorney General offices and self-regulatory organizations, such as FINRA.

Represents Dapper Labs, Inc. in Friel v. Dapper Labs Securities Litigation (S.D.N.Y.)
Represented Oracle Corporation in In re Cerner Corporation Merger Litigation (S.D.N.Y.)
Represented the Elastos Foundation in Owen v. Elastos Foundation Securities Class Action (S.D.N.Y.)
Represented Oracle Corporation in Klein v. Ellison, et al. (N.D. Cal.).
Represented SandRidge Energy in Gernandt v. SandRidge Energy (W.D. Okla.)
Represented PwC in In re Metropolitan Securities Litigation (E.D. Wash.)
Represented Chesapeake Energy Corp. in UFCW v. Chesapeake Securities Class Action (W.D. Okla.)
Represented PwC in Metropolitan v. PricewaterhouseCoopers LLP (E.D. Wash.)
Represented Retek Inc. in In re Retek Securities Litigation (D. Minn.)
Represented Robertson Stephens, Inc. in In re Mutual Fund Trading Securities Litigation (D. Md. MDL)
Represented Walmart in Furman v. Walton, et al. (N.D. Cal.)
Represented Ocwen Financial Corporation in Powell et al v. Ocwen Financial Corporation (S.D.N.Y.)

California Litigation: White-Collar Crime & Government Investigations
Chambers USA
“Enforcement Elite,”
Securities Docket
Corporate Investigations and White-Collar Criminal Defense: Advice to Individuals
Legal 500 USA
Litigation Star
Benchmark Litigation Guide
Securities: Shareholder Litigation; M&A Litigation
Legal 500 USA

"SEC suffers judicial setbacks for administrative hearings," Daily Journal, Co-author
June 2022
"Digital Assets: What to Do When the SEC Comes Calling," Crowdfund Insider, Quoted
JANUARY 26, 2020
"Challenging SEC Authority to Enforce the Bank Secrecy Act," Law360, Co-author
JULY 12, 2018
"SEC''s OCIE 2018 Areas of Focus," Harvard Law School Forum on Corporate Governance and Financial Regulation, Co-author
MARCH 6, 2018
"SEC Cybersecurity Enforcement at Watershed Moment: How Companies Should Prepare," Bloomberg Big Law Business, Co-author
MARCH 6, 2018
"Government Leaks Lead to Landmark Insider Trading Case," Harvard Law School Forum on Corporate Governance and Financial Regulation, Co-author
JUNE 14, 2017
"On Tap: The Government''s Use of Wiretaps in Insider Trading Prosecutions Shows a Willingness to Use Nontraditional Methods of Investigation," Los Angeles Lawyer, Co-author
April 2012

"Financial Reporting and Accounting Fraud — A ‘Core’ Enforcement Focus," Securities Enforcement Forum West 2026, Presenter
MAY 21, 2026
"Bio-Rad: In-House Counsel - Trusted Adviser, Whistleblower or Both?," PLI Institute, On-Demand One-House Briefing, Presenter
MARCH 24, 2017

"A New Era of Federal Prosecutions: Challenges for Main Street and Wall Street," New York
February 2012
"Insider Trading Investigations: Best Practices in Internal Investigations, Takeaways from the Rajaratnam Case, and the Government''s New Insider Trading Initiatives," AICPA Forensic Accounting Conference 2011, Chicago
September 2011
"Navigational Skills for the Forensic Accountant," AICPA Forensic Accounting Conference 2011, Chicago
September 2011

Anti-Corruption & FCPA

Asset Management Securities Enforcement & Compliance

Compliance & Regulatory Counseling

Data Privacy & Cybersecurity

Fintech

Investigations & White Collar Defense

SEC Enforcement Defense & Regulatory Counseling

Securities Litigation

Kenneth P. HerzingerKenneth P.Herzinger

REPRESENTATIONS

RECOGNITIONS

Chambers USA

Securities Docket

Legal 500 USA

Benchmark Litigation Guide

Legal 500 USA

NEWS & THOUGHT LEADERSHIP

PUBLICATIONS

"SEC suffers judicial setbacks for administrative hearings," Daily Journal, Co-author

"Digital Assets: What to Do When the SEC Comes Calling," Crowdfund Insider, Quoted

"Challenging SEC Authority to Enforce the Bank Secrecy Act," Law360, Co-author

"SEC''s OCIE 2018 Areas of Focus," Harvard Law School Forum on Corporate Governance and Financial Regulation, Co-author

"SEC Cybersecurity Enforcement at Watershed Moment: How Companies Should Prepare," Bloomberg Big Law Business, Co-author

"Government Leaks Lead to Landmark Insider Trading Case," Harvard Law School Forum on Corporate Governance and Financial Regulation, Co-author

"On Tap: The Government''s Use of Wiretaps in Insider Trading Prosecutions Shows a Willingness to Use Nontraditional Methods of Investigation," Los Angeles Lawyer, Co-author

PAST ENGAGEMENTS

PRACTICE AREAS