Ian D. Roffman

In addition to leading the firm’s Securities Enforcement and Litigation practice, Ian serves on the firm’s governing Executive Committee. He currently serves as co-chair of the Amicus Board for the Greater Boston Chamber of Commerce and served a three-year term on the Boston Bar Association’s governing Council. He has also played a leadership role in a number of civic, charitable, and bar organizations.

On a pro bono basis, Ian has represented artists and musicians in various types of matters in support of their individual artistic and creative efforts. His work on their behalf was recognized by the Massachusetts Volunteer Lawyers for the Arts with the Robert B. Fraser Award for pro bono excellence.

Ian is often quoted about the SEC and corporate governance by media outlets and is a frequent speaker and lecturer before bar, industry, and academic organizations. In his free time, he has coached more than 30 youth baseball teams.

Recent engagements include:

Asset Managers, Broker-Dealers and Financial Services:

• Represented large international asset manager in multiple government investigations relating to fiduciary obligations and potential conflicts of interest.
• Advised large international financial services firm in multiple SEC investigations relating to investments.
• Represented dual-registered investment adviser and broker-dealer in SEC investigations relating to conflict disclosures.
• Represented Fortune 100 insurance company in many civil matters and investigations relating to customer complaints and producer non-competes.
• Defended C-level executive of Fortune 500 asset manager in SEC investigation relating to fiduciary duties.
• Represented co-founder of hedge fund in SEC and DOJ government investigations and investor arbitrations relating to fiduciary obligations and investor disclosures.
• Defended General Counsel of a large asset manager in an SEC disclosure and trading investigation.
• Represented multiple small asset managers in SEC investigations relating to potential conflict disclosures.
• Represented trader in SEC investigation relating to underwriting rules.
• Defended Chief Compliance Officer of Fortune 300 financial services company in government investigation.

Public Companies and Accountants:

• Won jury trial for Big Four accounting firm in accounting malpractice claim.
• Defended Fortune 200 technology company in SEC accounting investigation relating to reserves and revenue recognition.
• Defended CEO of publicly traded financial services firm in shareholder class actions relating to accounting disclosures.
• Defended CFO of brand name retail company in SEC accounting investigation.
• Defended General Counsel and CFO of pharmaceutical company in SEC/DOJ investigation.
• Defended CFO of technology company in SEC accounting investigation.
• Defended auditors in PCAOB investigation relating to alteration of workpapers.

Banks and Credit Unions:

• Defended bank in investor class action alleging $1.3 billion loss.
• Defended bank and executives FDIC investigation relating to lending.
• Defended bank and executives in FDIC investigation relating to customer fraud.
• Defended multiple banks and credit unions in overdraft fee class actions.
• Defended multiple banks in PPP agency fee class actions.
• Defended multiple banks in merger litigation.

Government and Regulators

• Represented Financial Industry Regulatory Authority (FINRA) in multiple state and federal court actions relating to broker disclosures and expungements.
• Represented Office of the Treasurer of a New England state in an SEC investigation of municipal bond underwriting.
• Appointed Special Assistant Attorney General to defend elected Sheriff in consumer class action.

Insider Trading and Investors

• Defended founder of private equity firm in SEC insider trading investigation relating to trading by spouse in firm portfolio companies.
• Defended prominent physician in SEC insider trading investigation relating to knowledge of clinic trials.
• Defended relatives of private equity investor in SEC insider trading investigation relating to trading in relatives’ companies.
• Defended business partner of corporate insider in SEC insider trading investigation relating to trading in insider’s company.
• Defended investor in Section 15 disclosure disputes.
• Defended trader in SEC market manipulation investigation.

Internal Investigations

• Conducted internal investigation for governmental entity concerning compliance with ethics rules by senior personnel.
• Conducted internal investigation for bank concerning potential financial misconduct by former CEO.
• Conducted internal investigation for charitable trust concerning potential financial conflicts by trustees.
• Conducted internal investigation for special committee of large construction company concerning accounting disclosures.
• Conducted internal investigation for publicly traded technology company concerning reserve disclosures.

Whistleblowers

• Advised whistleblower in hedge fund fraud matter that resulted in successful SEC action
• Advised whistleblower in public company disclosure matter relating to FDA approval process.