Michael J. Quinn

Michael Quinn defends companies and individuals being investigated or sued by the U.S. Securities and Exchange Commission, the Department of Justice, FINRA, state attorneys general and other state agencies.

He regularly conducts internal investigations on behalf of his clients where fraud or regulatory violations are suspected. He advises clients on securities regulatory issues and represents them in civil litigation including securities class action and shareholder derivative litigation.

Mike helps his clients create compliant practices to maximize business success while minimizing regulatory risk. A former attorney at the SEC’s Division of Enforcement with decades of experience, Mike knows when to push back against government agencies, which can sometimes overreach, including in litigation and at trial when necessary, and he knows when to compromise for the greater business good.

He regularly represents public companies, their officers or directors, auditors and regulated entities, such as broker-dealers and investment advisers, in investigations and litigation involving securities fraud, market manipulation, insider trading, disclosure violations, accounting fraud and cryptocurrency related allegations.

He has also successfully represented small companies and individuals involved in securities publishing, marketing and stock promotion activities, providing regulatory advice and guidance to help them remain compliant and defending them in government investigations.

Experience

• Successfully defended an investment adviser in an SEC investigation and related private civil litigation arising out of a $100 million international maritime fraud scheme perpetrated by a Middle East shipping company, avoiding government action against the client.
• Represented directors of a public company in a shareholder derivative suit alleging violations of federal securities laws. Successfully defeated the plaintiffs’ application for a TRO seeking to stop a scheduled shareholder meeting to approve a merger. Subsequently obtained complete dismissal of all claims on a motion to dismiss.
• Served as lead trial counsel in successfully defeating the SEC at trial in an Administrative Proceeding on behalf of an owner of a broker-dealer on claims that the client violated a prior SEC suspension order. Subsequently obtained a rare award of attorneys’ fees under the Equal Access to Justice Act by demonstrating that the SEC was not substantially justified in bringing its enforcement action.
• Served as lead trial counsel in winning unanimous jury verdicts on all causes of action in the defense of an investment adviser against claims by a customer of fraud, breach of fiduciary duty, and breach of contract alleging millions of dollars in damages.
• Successfully navigated a multinational microcap market manipulation investigation involving the SEC, DOJ, BCSC (Canada), FINMA (Switzerland) and FCA (UK). Resolved the matter for a moderate settlement with the SEC and obtained a prosecution declination letter from the DOJ.