Mr. Ellis, counsel in the Securities Enforcement and Compliance Group of Skadden, Arps, Slate, Meagher & Flom LLP, represents a broad range of clients, including public companies and their officers, directors and employees, in investigations by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), other federal and state enforcement agencies, and FINRA. Mr. Ellis also advises clients on compliance, disclosure, internal controls, trading and related matters. He has conducted numerous internal investigations on behalf of public company boards and audit committees. He received his B.A. from Brigham Young University (magna cum laude) and his J.D. from J. Reuben Clark Law School, Brigham Young University (magna cum laude) He is a member of the District of Columbia Bar and the California Bar.
Mr. Ellis is co-author for Bloomberg BNA Corporate Practice Portfolio Series No. 77-5th, The SEC Enforcement Process: Practice and Procedure in Handling an SEC Investigation. This portfolio volume discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees. This portfolio also examines related issues, including disclosure of an SEC investigation and issues arising out of parallel civil and criminal inquiries.