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Ian D. Roffman, Nutter McClennen & Fish LLP Photo

Ian D. Roffman

Chair, Litigation Department / Boston

Overview

Ian Roffman chairs Nutter's Litigation Department and is a partner in the Securities Enforcement and Litigation practice group.

Executives, directors, boards, and companies rely on Ian’s expertise and experience when facing SEC and other government investigations, securities litigation, corporate governance disputes, and complex civil litigation. Clients also frequently engage Ian to conduct corporate internal investigations. Prior to joining Nutter, Ian was Senior Trial Counsel in the SEC’s Boston office.

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Recent clients have included:

  • Financial Industry Regulatory Authority (FINRA) in multiple state court actions relating to broker disclosures
  • Treasurer of a New England state in an SEC investigation of municipal bond underwriting
  • Fortune 200 technology company in SEC accounting investigation
  • Banks in regulatory investigations
  • Bank in investor class action alleging $1.3 billion loss
  • General Counsel and CFO of pharmaceutical company in SEC/DOJ investigation
  • CFO of technology company in SEC accounting investigation
  • Big four accounting firm in multiple matters
  • Prominent physician in SEC insider trading investigation
  • Head of Investor Relations of a Fortune 100 company in an insider trading investigation
  • General Counsel of a $20 billion investment advisor in an SEC disclosure and trading investigation
  • Registered representatives in many state regulatory investigations
  • CFO of brand name retail company in SEC accounting investigation
  • CFO of a hedge fund in SEC disclosure investigation
  • Fund portfolio managers in multiple state and federal investigations relating to collateralized debt obligations and asset-backed securities
  • Senior executive of a Fortune 500 financial services company in an SEC financial crisis-related investigation
  • CFO of a multi-national technology company in an FCPA investigation
  • Fortune 100 financial service company in sales practice disputes
  • CEO of top 5 broker-dealer in shareholder class action
  • CFO of a top 10 mutual fund complex in shareholder litigation
  • Banks in merger litigation
  • General Counsel of software company in corporate governance disputes and Delaware litigation

Ian is often quoted about the SEC and corporate governance by many media outlets and is a frequent speaker and lecturer before bar, industry, and academic organizations. He plays a leadership role in a number of civic, charitable, and bar organizations, and has coached more than twenty youth baseball teams.

Experience

Experience

  • Nutter achieves victory for portfolio manager in SEC investigation

    In a significant victory for a Nutter client -- a star portfolio manager for a large national asset management firm -- the Securities and Exchange Commission closed its investigation of the portfolio manager without recommending any enforcement action. The SEC was investigating the client in connection with several trades made prior to public announcements of secondary offerings.

  • Multiple merger-related shareholder class actions

    Successfully represented companies and boards in multiple merger-related shareholder class actions.

  • Represented hedge fund portfolio manager in SEC investigation

    Represented senior hedge fund portfolio manager in SEC investigation relating to possible trading improprieties.

  • Represented multiple executives in expert network investigation

    Represented multiple individuals in SEC investigation relating to use of expert networks by institutional investors and hedge funds.

  • Insider trading investigations

    Represented many companies and individuals in more than a dozen insider trading investigations.

  • Represented Brokers

    Successfully represented broker from national brokerage firm in state securities investigation concerning selling practices. No charges filed.

  • Represented Traders

    Successfully represented trader from national financial services firm in investigations relating to credit default swaps. No charges filed.

  • Conducted internal investigation for audit committee

    Conducted internal investigation for audit committee of public biotechnology company concerning securities law compliance.

  • Won jury verdict in major business torts case

    After a client’s competitor acquired a client’s exclusive supplier and threatened to terminate the client’s supply of a key component, we sued the competitor and supplier. In a month long trial, we obtained a jury verdict holding the competitor and a supplier liable for breach of contract, tortious interference, and misappropriation of trade secrets, ultimately leading to a favorable judgment for declaratory and injunctive relief, double damages, and a multi-million dollar legal fee award under Massachusetts’ unfair trade practices statute.

  • Represented several executives of large cap public company in SEC investigation

    Represented several executives of large cap public company in SEC investigation relating to revenue recognition and accounting policies. No charges filed.

  • Advised state government entity concerning federal securities investigation

    Advised state government entity concerning federal securities investigation.

  • Represented senior executive in SEC investigation relating to subprime

    Represented senior executive of large cap national financial services company in SEC investigation relating to subprime. No charges filed.

  • Conducted internal investigation for a special litigation committee of a Fortune 500 company

    Conducted internal investigation for a special litigation committee of a Fortune 500 company concerning alleged fraudulent accounting and insider trading by officers and directors.

  • Won dismissal of civil RICO claims

    Won dismissal of civil RICO claims against regional healthcare organization.

  • Represented chief financial officer in FCPA investigation

    Represented chief financial officer of multi-national public company in FCPA investigation.

News & Insights

News

Speaking Engagements

Publications

Honors

Honors

  • The Best Lawyers in America, 2017-2018 
  • Massachusetts Super Lawyers, 2011-2016
  • Boston Business Journal’s 40 Under 40, 2011
  • Volunteer Lawyers for the Arts, Fraser Award, 2011 
  • Benchmark Lawyer’s Guide “Rising Star,” 2011-2016
  • SEC Chairman’s Award, 2002
  • SEC Enforcement Director’s Award, 2007
  • Chambers and Partners, Leading U.S. Litigation: Securities Attorney, 2017

Education & Admissions

Education

University of Chicago Law School, J.D.

University of Chicago, A.B.

Admissions

  • Massachusetts
  • Illinois

Industry Expertise

Clients rely on Ian’s expertise and experience when facing SEC and other government investigations, securities litigation, corporate governance disputes, and complex civil litigation. He is often quoted about the SEC and corporate governance by many media outlets and is a frequent speaker and lecturer before bar, industry, and academic organizations.

Noteworthy

The Best Lawyers in America, 2017-2018

Massachusetts Super Lawyers, 2011-2016

Boston Business Journal’s 40 Under 40, 2011

Volunteer Lawyers for the Arts, Fraser Award, 2011

Benchmark Lawyer's Guide "Rising Star," 2011-2016

SEC Chairman's Award, 2002

SEC Enforcement Director's Award, 2007

Chambers and Partners, Leading U.S. Litigation: Securities Attorney, 2017