Jimmy Fokas
Jimmy Fokas practices in the areas of securities litigation and regulatory enforcement and white collar defense and corporate investigations.
Mr. Fokas’s practice includes representation of companies and individuals in DOJ, SEC, NYSE and NASD investigations and enforcement proceedings concerning a variety of securities law issues, as well as counseling broker-dealers with respect to compliance issues. Mr. Fokas has conducted internal investigations of public companies involving accounting and financial reporting issues as well as represented individuals in criminal investigations concerning tax fraud and healthcare fraud, including violations of the Anti-Kickback Statute and the Food, Drug and Cosmetics Act.
Prior to joining the firm, Mr. Fokas served as a staff attorney and senior counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission. He conducted investigations of a variety of securities law violations including allegations of accounting fraud, offering fraud and fraudulent proprietary trading at a broker-dealer. The investigations led to enforcement actions and administrative proceedings against public companies and individuals.
Mr. Fokas is a presenter and author on such topics as:
- Insider trading: “Insider Trading and Company Counsel,” New Jersey Law Journal and Law.com (July 2007)
- The discovery process: “Case Study: A Day in the Life of a Regulatory and Criminal Investigation,” ALM Panel (September 2007)
- Amendments to Federal Rules: “Amended Rule 408: Another Arrow for the Prosecution’s Quiver?” New York Law Journal’s White Collar Criminal Supplement (July 2006)
Mr. Fokas is a member of the American Bar Association, the Securities Industry and Financial Markets Association and the Hellenic Lawyer’s Association.