Jeremiah Williams

Partner

Jeremiah Williams

Partner

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Jeremiah Williams is a partner in Ropes & Gray’s litigation and enforcement practice group, focusing 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. Drawing on his deep regulatory knowledge, Jeremiah counsels public companies on updates to risk factors and other public disclosures in light of the COVID-19 outbreak. He 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 U.S. Securities and Exchange Commission. While at the SEC, he 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 the Investment Advisers Act and Investment Company Act. He also previously spent six years in the financial industry, where he worked with derivatives and developed quantitative models used for valuing and hedging complex financial instruments. 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 public company in an SEC accounting investigation.
  • Advised Committee of Unsecured Creditors on valuation of assets in Chapter 11 bankruptcy of an oil and gas producer. 
  • Representing a venture capital fund adviser in connection with an SEC pay-to-play investigation.  
  • Representing an investment adviser in connection with an SEC inquiry into the valuation of mortgage-backed 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

  •  Three-time recipient of the Director’s Award in recognition of outstanding contributions to the SEC Division of Enforcement

Presentations

Publications

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)
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