Lindsey Sullivan is counsel in the Litigation and Enforcement practice group. Lindsey focuses her practice on defending clients in investigations and enforcement actions before the Securities & Exchange Commission. She routinely advises private equity firms, hedge funds, and other investment advisers regarding their obligations under the federal securities laws, often in connection with SEC examinations. Lindsey also advises clients in a broad array of industries in connection with government and internal investigations involving the FCPA, the U.K. Bribery Act, and other international risk issues.
In addition, Lindsey has significant experience representing clients in complex commercial disputes and has assisted companies in responding to a wide range of legal issues resulting from data security breaches, including responding to regulators and class action plaintiffs, as well as overseeing forensic investigations and preservation efforts.
Prior to joining the firm, Lindsey served as a law clerk to the Hon. Marvin E. Aspen of the United States District Court for the Northern District of Illinois.
- Counseled numerous investment advisers and fund managers in connection with SEC examinations and enforcement matters, including responses to exams, deficiency letters, and investigative subpoenas.
- Represented international financial services firms, hedge funds, and individual traders in SEC, CFTC, and CME investigations into trading activities.
- Represented major chain in defending against all third-party claims arising from a payment card incident.
- Represented major retailer in responding to card brand inquiries stemming from a data security breach.
- Represented investment manager and lenders in RMBS trust actions.
- Assisted with the creation and execution of preservation and collection strategies following high-profile data breach.
- Assisted Criminal Justice Act appointed counsel in representation of criminal defendant charged with conspiracy, including at jury trial and appeal to Second Circuit.
- Represented groups of professional economists and law scholars as amici curiae to Supreme Court in two key immigration cases.
- Co-author, “The CFTC and Market Manipulation,” Harvard Law School Forum on Corporate Governance and Financial Regulation (December 31, 2018)
- Co-Author, “Unanswered Questions Following the Supreme Court’s Holding in ‘Lucia v. SEC’,” Bloomberg BNA’s Securities & Capital Markets (June 28, 2018)
- Co-author, “SEC Announces Two Enforcement Actions Alleging Investment Advisers Inflated Performance,” Wolters Kluwer’s Securities Regulation Daily (June 11, 2018)
- Co-author, “2nd Circ. Throws Wrench Into FCPA Enforcement,” Law360 (August 11, 2017)
- Co-author, “High Hurdles Faced by Data Security Breach Shareholder Derivative Plaintiffs,” Bloomberg BNA Privacy and Security Law Report (May 2017)
- Seth Harrington, David Cohen and Lindsey Sullivan, “Practical Tips for In-House Counsel From Recent Private Data Security Breach Litigation,” Bloomberg BNA’s Privacy and Security Law Report (September 13, 2016)
- Mark Szpak, Seth Harrington and Lindsey Sullivan, “Cyberattack Risk: Not Just For Personal Data,” Boston Bar Journal (October 21, 2015)
- Laura Hoey, Jonathan Schmidt, Lindsey Sullivan and Justin Van Etten, “Privacy and Data Security Enforcement: The SEC is Getting in on the Action,” Ropes & Gray Article, republished with permission from PLI (April 2015)