Ian D. Roffman

Partner Seaport West
155 Seaport Boulevard
Boston, MA 02210 617-439-2421 Fax: 617-310-9421 iroffman@nutter.com iroffman@nutter.com V-card

EDUCATION

• University of Chicago Law School, J.D.
• University of Chicago, A.B.

ADMISSIONS

• Massachusetts
• Illinois

ARTICLES & EVENTS

• Ian Roffman publishes “SEC v. Tambone: What It Means to “Make” a Statement to Investors”
  Boston Bar Journal
• Jonathan Kotlier and Ian Roffman participate in the BBA’s program “Securities Fraud 2010: The ‘New Deal’ at the SEC, Insider Trading, and a White Collar Trial”
  
• Jonathan Kotlier and Ian Roffman participate in BBA program “Securities Fraud 2009: Madoff, Trials, and the SEC's View on Enforcement”
  
• Ian Roffman panelist at BBA program “View from Inside the SEC Concerning Negotiations, Settlements, and Trials”
  
• Ian Roffman presents at BBA program “On Trial Opposite the SEC”
  
• Ian Roffman quoted in “Update 1-U.S. SEC pursuing ‘significant’ insider cases-source”
  Reuters
• Ian Roffman featured in Boston Business Journal’s column Outside The Box
  
• Ian Roffman quoted in “Why Self-Reporting to SEC Warrants Caution”
  Ignites
• Ian Roffman quoted in “Industry Looks at Major Regulatory Challenges in ’09”
  Ignites
• Ian Roffman quoted on overhaul of SEC
  Ignites
• Jonathan Kotlier and Ian Roffman present at ECOA 2008 Annual Business Ethics and Compliance Conference
  
• Ian Roffman and David Sullivan panelists at MBC’s Law & Policy Committee Roundtable Forum
  
• Ian Roffman and Robert Ullmann panelists at ACC’s crisis management roundtable
  
• Ian Roffman publishes “Zealous advocacy can mean playing nice with the SEC”
  New England In-House
• Jonathan Kotlier and Ian Roffman host ECOA's webinar on personal liability for compliance professionals
  
• Ian Roffman panelist at BBA seminar on SEC Practices and Investigations
  
• Ian Roffman presents an insider's guide to SEC investigations
  
• Ian Roffman panelist at EEI's "Disclosure and Financial Reporting Summit"
  
• Ian Roffman discusses the Stoneridge case on New England Business Day
  
• Robert Ullmann and Ian Roffman host CBI's webinar on government enforcement issues affecting the biotech industry
  
• More

Ian D. Roffman is a partner in the Litigation Department and a member of the Securities Litigation and Government Investigations practice groups. He joined the firm in 2007 from the enforcement division of the U.S. Securities and Exchange Commission, where he served as senior trial counsel in the Boston office.

Ian specializes in securities enforcement and litigation, government and internal investigations, and complex civil litigation. He represents companies, boards, board committees and individuals in SEC and other government enforcement matters, securities class actions, corporate governance disputes and general commercial disputes. He also advises companies and individuals concerning SEC, FINRA and state securities regulations and investigations and corporate governance matters.

His recent engagements have included:

• Won five-week jury trial on behalf of medical device manufacturer in the business litigation session of the Massachusetts state courts
• Successfully defended a large regional bank in shareholder class action arising from corporate acquisition
• Successfully defended a Fortune 100 healthcare company in shareholder class action arising from corporate acquisition
• Successfully defended a major investment bank in nationwide antitrust class action
• Conducted investigation for a special litigation committee of a Fortune 500 company concerning alleged fiduciary breaches by officers and directors
• Advised a state Attorney General concerning his investigation of the failure of that state’s securities bureau to uncover a large ponzi scheme
• Conducted internal investigation for Fortune 200 public company concerning securities offerings
• Conducted internal investigation for audit committee of public biotechnology company concerning securities law compliance
• Represented boutique investment bank in a lengthy FINRA examination; no charges were filed
• Represented many public companies and individuals in SEC, NYSE and FINRA insider trading investigations
• Represented many senior-level executives and directors in SEC investigations and shareholder class actions relating to options backdating, subprime and other mortgage-backed securities, brokerage activity, revenue recognition, securities offerings, and public disclosures

In addition, Ian has represented creative artists in various types of disputes. He represented a prominent photographer in a copyright dispute with producers of a reality television show, a local man in a dispute over the use of video footage in documentary film and a professional athlete in an endorsement dispute with a sporting goods and apparel manufacturer.

From 2001- 2007, Ian worked for the Enforcement Division of the U.S. Securities and Exchange Commission, rising to the position of senior trial counsel. While at the SEC, he led dozens of high-profile investigations and enforcement actions. Ian was lead trial counsel in the Commission’s first market timing action against a mutual fund adviser and in well-publicized action involving public disclosures of the FDA’s review of a new drug application. He has also tried cases involving investment advisers and broker-dealers, including one matter in which the SEC obtained a then-record judgment against a large national brokerage firm.

Prior to joining the SEC, Ian was a litigation associate at Skadden Arps.  Ian is also active in a number of community and bar organizations.

For further information about Nutter’s Government Investigations and White Collar Defense practice, please visit our practice portal.