Jeremiah Williams is part of Ropes & Gray’s business & securities litigation practice group with a focus on securities and futures enforcement. In his capacity as a litigator and former government enforcement attorney, Jeremiah has represented and prosecuted individuals and organizations in the financial services industry in both the private and public sectors. His extensive experience includes negotiating complex settlement agreements and navigating the Securities and Exchange Commission process. He is also experienced in white collar criminal defense and civil litigation involving financial instruments. Jeremiah provides compliance counseling for the firm’s asset management clients in the growing area of securities-related enforcement.
Prior to joining Ropes & Gray, Jeremiah was Senior Counsel in the Division of Enforcement at the Securities and Exchange Commission. While at the SEC, Jeremiah was a member of the Asset Management Unit, a specialized group investigating potential misconduct involving registered investment companies and private funds, with a particular focus on violations of the Investment Advisers Act and Investment Company Act. Jeremiah also previously spent six years in the financial industry, where he marketed equity derivatives to large institutional investors and developed quantitative models used for valuing and hedging complex fixed income securities. Jeremiah holds the Chartered Financial Analyst (CFA) designation.
- Representing a venture capital fund in connection with an SEC pay-to-play investigation.
- Representing a mutual fund in connection with an SEC inquiry into the trading and pricing of odd-lot securities.
- Representing one of the world’s largest asset managers in connection with an investigation stemming from the SEC’s ongoing review of fee and expenses taken by private equity and real estate funds.
- Managed complex SEC investigation involving risk disclosures of registered fund heavily invested in credit default swaps.*
- Obtained $267 million settlement against global wealth management firm in landmark conflicts of interest case.*
- Investigated major investment banking and financial services advisory firm for deficient policies and procedures regarding principal trading practices.*
- Led novel auditor independence case involving subsidiary of Big 4 accounting firm that lobbied Congress on behalf of audit clients.*
Matters completed prior to joining Ropes & Gray.*
- Quoted, “SEC to Target Fund Liquidity, Custom Indexes in 2018 Exams,” Ignites (February 8, 2018)
- Quoted, “PF Manager Settles Charges Involving Conflicts, Disclosure and Exam Findings,” ACA Insight (January 8, 2018)
- Co-author, “Management Projections in Delaware Appraisal Litigation: Anecdotal Evidence,” Insights: The Corporate & Securities Law Advisor (October 2017)
- Quoted, “Failure to Provide Counsel with Key Information Likely Won’t Pass SEC Muster,” ACA Insight (October 16, 2017)
- Quoted, “Pay-to-Play Fears Prompt Some Managers to Ban Political Donations,” FundFire (September 15, 2017)
- Quoted, “Trade Allocation Not Consistent with Client Disclosure is Enforcement Red Flag,” ACA Insight (May 15, 2017)
- Quoted, “SEC Announces 2017 Exam Priorities, Adds Robo-Advisers to List,” Investment News (January 12, 2016)
- Video Interview, “Managers Face Enforcement, DOL Pressures: Reg Experts,” FundFire (October 2016)
- Quoted, “Absorb lessons from enforcement case and keep disclosure current and robust,” IA Watch (August 18, 2016)
- Quoted, “Trade allocation policies being scrutinized by SEC,” Pensions & Investments (May 30, 2016)
- Currency Double Barrier Knock-Out Options, Laboratory for Financial Engineering, Massachusetts Institute of Technology (Working Paper No. P95F-1), October 1995