Jeremiah Williams
Partner
Jeremiah Williams is a partner of Ropes & Gray’s litigation and enforcement 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 practice focuses on defending entities and individuals in civil and criminal government investigations. Jeremiah also advises asset management clients on regulatory issues and 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.
Experience
- Representing a CEO in DOJ and SEC investigations regarding alleged accounting fraud and insider trading.
- Representing a venture capital fund adviser 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.*
Publications
- Quoted, “SEC fines NYSE for systems failures,” Commercial Dispute Resolution (March 14, 2018)
- Co-author, “Management Optimism Versus Market Skepticism in Delaware Appraisal Litigation: A Dell Case Study,” Insights: The Corporate & Securities Law Advisor (February 2018)
- Quoted, “SEC to Target Fund Liquidity, Custom Indexes in 2018 Exams,” Ignites (February 8, 2018)
- Co-author, “Delaware Supreme Court reverses Court of Chancery's Dell appraisal decision,” International Law Office (January 17, 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
Presentations
- Panelist, “Litigating Securities Fraud Cases Against the SEC and DOJ,” Securities Enforcement Forum (November 1, 2018)
- Panelist, “Recent Banking and Securities Enforcement Actions and Litigation,” Financial Markets Association Legal and Legislative Issues Conference (October 18, 2018)
- Presenter, “How to Survive Your Next SEC Audit” (February 27, 2018)
- Panelist, “New Rules, Same Game - What to Expect from the New SEC” (November 15, 2017)
- Presenter, “Preparing For and Managing a Stock Drop” (April 10, 2017)
- Panelist, “Balancing Business Objectives with Risk and Compliance Obligations,” 2017 Hiperos Financial Services Regulatory Knowledge Forum (March 16, 2017)
- Panelist, “Discussing the SEC Transition: The Departure of Mary Jo White” (November 17, 2016)
- Panelist, “Financial Firm Spotlight – Asset Management, Private Equity, Hedge Funds and More,” Securities Enforcement Forum (October 13, 2016)