Erich T. Schwartz, a Partner in Skadden's Washington, D.C., office, joined the firm in 2001 after serving as Assistant Director of the Division of Enforcement at the U.S. Securities and Exchange Commission (SEC). Mr. Schwartz concentrates his practice in the defense of securities enforcement matters and compliance counseling. He represents public companies; public accounting firms; broker-dealers and investment advisers; and their officers, directors and employees in investigations by the SEC and other regulatory authorities.
Mr. Schwartz handles high-profile internal investigations of conduct that raise potential regulatory issues, including accounting and disclosure issues, insider trading and Foreign Corrupt Practices Act matters, among others. He counsels his clients on strategies for avoiding such issues, including preventative and remedial measures. Additionally, Mr. Schwartz is experienced in complex representations that involve parallel investigations by the SEC, the Department of Justice (DOJ), state regulators or FINRA, as well as related private litigation.
Before joining Skadden, Mr. Schwartz practiced for 15 years at the SEC, including as assistant director of the Division of Enforcement from 1994 through 2001. In that capacity, Mr. Schwartz directed securities enforcement investigations, civil litigation of securities claims and parallel investigations with criminal prosecutors concerning accounting fraud, improper audits, auditor independence, insider trading, market manipulation, offering fraud, false disclosures, and violations by brokers-dealers and investment advisers. Mr. Schwartz also organized an enforcement branch at the SEC that concentrated on investigating securities fraud conducted over the Internet.
Mr. Schwartz writes and speaks frequently on a wide range of securities law enforcement topics. He also served as an adjunct professor at the George Washington University Law School, where he taught securities regulation.
He received his B.A. from the University of Maryland and his J.D. from the George Washington University Law School.
Co-author of BBNA Corporate Practice Portfolio Series No. 77-5th, The SEC Enforcement Process: Practice and Procedure in Handling an SEC Investigation.
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