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Ian D. Roffman, Nutter McClennen & Fish LLP Photo

Ian D. Roffman

Chair, Securities Enforcement and Litigation Practice / Boston

Overview

Executives, directors, boards, and companies rely on Ian’s expertise and experience when facing government investigations, securities litigation, complex civil litigation, and corporate governance disputes. Clients also frequently engage Ian to conduct internal investigations. Ian works with public companies, financial services companies, private equity, hedge funds, and investment professionals, and has deep experience both in the boardroom and in the courtroom.

Ian leads the firm’s Securities Enforcement and Litigation practice and serves on the firm’s governing executive committee. He formerly chaired the firm’s litigation department. Prior to joining Nutter, Ian was Senior Trial Counsel in the SEC’s Boston office.

Recent clients have included:

  • Financial Industry Regulatory Authority (FINRA) in multiple state and federal court actions relating to broker disclosures
  • Treasurer of a New England state in an SEC investigation of municipal bond underwriting
  • Banks and bank executives in FDIC and OCC investigations
  • Banks and bank directors in shareholder litigation
  • Founder of private equity firm in SEC investigation
  • General Counsel and CFO of pharmaceutical company in SEC/DOJ investigation
  • Chief Executive Officer of prominent broker-dealer in government investigations and shareholder class action
  • Big 4 accounting firm in civil actions and government investigations
  • Head of Investor Relations of a Fortune 100 company in an insider trading investigation
  • Fortune 100 insurance company in many civil matters and investigations
  • Fortune 200 technology company in SEC accounting investigation
  • Chief Compliance Officer of Fortune 300 financial services company in government investigation
  • Hedge funds in multiple matters
  • Prominent physician in SEC insider trading investigation
  • Registered representatives in many state regulatory investigations
  • CFO of brand name retail company in SEC accounting investigation
  • Fund portfolio managers in multiple state and federal investigations relating to collateralized debt obligations and asset-backed securities
  • General Counsel of software company in corporate governance disputes and Delaware litigation

Ian is recognized by Chambers in the area of securities litigation, and 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. He plays a leadership role in a number of civic, charitable, and bar organizations, and has coached more than twenty-five 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 a 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 multimillion dollar legal fee award under Massachusetts’s 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

  • Best Lawyers in America, 2017-19
  • Chambers and Partners, Leading U.S. Litigation: Securities Attorney, 2017-19
  • Massachusetts Super Lawyers, 2011-2018
  • Benchmark Lawyer’s Guide “Rising Star,” 2011-2017
  • Boston Business Journal’s 40 Under 40, 2011
  • Volunteer Lawyers for the Arts, Fraser Award, 2011
  • SEC Enforcement Director’s Award, 2007
  • SEC Chairman’s Award, 2002

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

  • Best Lawyers in America, 2017-19
  • Chambers and Partners, Leading U.S. Litigation: Securities Attorney, 2017-19
  • Massachusetts Super Lawyers, 2011-2018
  • Benchmark Lawyer’s Guide “Rising Star,” 2011-2017
  • Boston Business Journal’s 40 Under 40, 2011
  • Volunteer Lawyers for the Arts, Fraser Award, 2011
  • SEC Enforcement Director’s Award, 2007
  • SEC Chairman’s Award, 2002
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