Ivan B. Knauer

Of Counsel

knaueri@ballardspahr.com
Tel 202.661.2222
Fax 202.661.2237
Washington, DC

Ivan Knauer represents public companies, broker-dealers, investment advisers, investment companies, and their officers, directors and employees, in securities enforcement and litigation matters. He represents clients in enforcement matters brought by a variety of state and federal agencies, including the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), and the Department of Justice (DOJ). He also handles class action lawsuits and arbitrations. A former enforcement attorney at FINRA and the SEC, Ivan also advises financial institutions on regulatory compliance matters. He has extensive experience with SEC receiverships and bankruptcy matters. Ivan also regularly conducts internal investigations.

Representative Matters

  • Served as securities litigation counsel and counsel to the receiver in an SEC enforcement action and receivership involving more than 50 corporate entities; facilitated a global resolution of related enforcement matters by the CFPB and state attorneys general
  • Represented the independent directors of a publicly traded bank in a securities class action and parallel SEC and DOJ investigations
  • Represented a Russian bank and its U.K. subsidiary in a CFTC investigation of currency futures trading
  • Represented the head trader of a U.K.-based bank in a DOJ investigation into possible antitrust violations arising from foreign exchange trading
  • Represented several dual registrants (B-D/IA) in investigations by the SEC, FINRA, and various state regulators concerning alternative investments, complex products, illiquid investments, trading/clearing issues, and the duties owed under different regulatory regimes
  • Acted as special investigative counsel to the trustee in a bankruptcy matter involving large financial institutions
  • Represented the head trader of a broker-dealer in a FINRA investigation regarding Reg SHO
  • Represented several branch managers in SEC and FINRA investigations regarding possible failure to supervise
  • Represented several officers, directors, and employees of public companies in SEC investigations into possible insider trading in company stock
  • Represented a hedge fund and its president in litigation against the SEC in a case alleging late trading and market timing of mutual funds, culminating in a 17-day federal court trial in New York
  • Served as an expert witness in state and federal court in various securities-related matters
  • Conducted internal investigations of public companies and broker-dealers regarding potential securities law violations
  • Advised several mutual fund advisers on SEC investigations
  • Represented several public companies, mutual funds, and their officers and directors in SEC investigations and securities class actions
  • Represented broker-dealers and their associated individuals in several FINRA and AAA arbitrations

Professional Activities

Association of Securities and Exchange Commission Alumni (ASECA), 1998-present

Securities Industry and Financial Markets Association (SIFMA), 1998-present

National Society of Compliance Professionals (NSCP), 1999-present

Publications

Co-author, "SIGTARP Offers Road Map for CARES Act IG, 12 Years Later," Bloomberg Law, June 15, 2020

Co-author, "Are Recent Stock Sales by Members of Congress the Tip of the Insider Trading Iceberg?" The National Law Journal, April 17, 2020

Co-author, "Breaking Down DOJ's Enforcement and Corporate Leniency Policies," Denver Business Journal, June 11, 2018

Co-author, "Private Equity and the SEC: A Brave New World of Scrutiny and Compliance," Mondaq, MCCA, May 22, 2014

Co-author "Securities and Exchange Commission Creates New Private Fund Unit Dedicated to Examination of Private Equity and Hedge Funds,” Mondaq, MCCA, April 10, 2014

Speaking Engagements

Panelist, "Foreign Corrupt Practices Act and Other Fraud Concerns (Advanced)," NSCP National Conference, October 20, 2020

Panelist, "Three Lines of Defense: A Risk Governance Framework," BISA Regulatory & Compliance Summit, November 14, 2017

Panelist, "SEC Enforcement in the Trump Era," PACDL White Collar Practice Seminar, November 2, 2017

Panelist, "Challenges Faced by Dual Registrants (Broker-Dealers and Investment Advisers)," NSCP National Conference, October 17, 2016

Panelist, "Risk Assessment in Securities and Banking Industries under SEC Rule 17-H," BISA One Source, August 13, 2015

New York University School of Law (J.D. 1989)

University of Pennsylvania (B.A. 1983)

District of Columbia

New York

Utah

Massachusetts (inactive)