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While serving as Senior Counsel in the Division of Enforcement in the New York Regional Office of the SEC, Bari conducted complex investigations and brought enforcement actions against individuals and entities concerning offering fraud, insider trading, broker-dealer and investment adviser misconduct and various other securities law violations.  She led matters and coordinated with the Department of Justice (DOJ), the Federal Bureau of Investigation (FBI), the Financial Industry Regulatory Authority (FINRA), the Financial Crimes Enforcement Network (FinCEN) and other federal agencies in her investigations.  While at the SEC, she received the Chair’s Award for Excellence and the Staff Excellence Award in recognition of her outstanding achievements in investigative work.

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J.D., St. John’s University School of Law, 2015, 

B.A., Political Science, Macaulay Honors College at Queens College, CUNY, 2012, 

New York

SEC and FINRA Probe DATs: What It Means and How To Respond

White Collar, Investigations and Securities Enforcement and Litigation

Litigation

Securities and Governance Litigation

Government Experience
<ul>
<li>Developed and implemented investigative plans; collected and analyzed documentary evidence; and conducted investigative testimony, interviews and proffers with witnesses to identify potential theories of liability under the federal securities laws.</li>
<li>Coordinated with other SEC Divisions and Offices, including Trading and Markets, Investment Management, Corporation Finance and Examinations.</li>
<li>Led settlement negotiations and coordinated with other law enforcement and regulatory authorities, including the DOJ, FBI, FINRA and FinCEN, in parallel investigations.</li>
<li>Prepared, drafted and presented enforcement recommendations to the Commission.</li>
<li>Led investigation of an individual for orchestrating a fraudulent scheme that raised approximately $4 million, most of which was misappropriated for personal expenses, that resulted in fraud and Investment Advisers Act charges.</li>
<li>Investigated and brought fraud and Regulation Best Interest charges against a former U.S. Army financial counselor for defrauding Gold Star family members.</li>
<li>Investigated and brought settled charges against a registered broker-dealer for violating federal securities laws governing the execution of short sales and the submission of suspicious activity reports.</li>
<li>Investigated and brought settled charges against a New York-based investment adviser and its principal related to their failure to disclose the misuse of proceeds raised from investment advisory clients and to the firm’s failure to implement reasonably designed written policies and procedures concerning the disclosure of conflicts of interest.</li>
<li>Investigated allegations of insider trading involving corporate executives and took the testimony of the CEO of a public entity.</li>
<li>Member of investigative team that conducted a sweep of late beneficial ownership and insider transaction reports resulting in significant monetary penalties.</li>
</ul>
Private Practice Experience
<ul>
<li>Lead associate on the litigation team for an SEC administrative proceeding against a CPA and former Lieutenant Colonel in the U.S. Armed Forces involving alleged violations of the books and records and internal controls provisions of the Securities Exchange Act of 1934. Advocated for and secured a significant reduction in the proposed fine and penalties.</li>
<li>Lead associate in the representation of a technology company and its owners in an SEC investigation involving allegations of the sale of unregistered securities. Prepared and facilitated the production of voluminous data and materials in response to SEC subpoenas.</li>
<li>Represented the former CEO and founder of a public company in an SEC investigation involving allegations of causing misleading disclosures that resulted in a termination letter by the SEC.</li>
<li>Lead associate in the representation of an individual in an SEC investigation involving allegations of insider trading under the misappropriation theory of liability and market manipulation.</li>
<li>Represented former members of senior management of a public company in connection with an internal investigation of accounting and financial reporting matters and parallel investigations by the SEC and DOJ.</li>
<li>Represented clients in securities class actions, including CEOs and CFOs of public companies.</li>
<li>Represented Irving H. Picard, the Securities Investor Protection Act Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC, in connection with BakerHostetler’s role as court-appointed counsel. Member of the trial team in the first of the Trustee’s cases to be tried by a jury, which rendered a full verdict in his favor, and successfully argued motions in limine in advance of trial.</li>
</ul>

Bari R. Nadworny

Bari R. Nadworny

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