Ian D. Roffman
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.
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.
- 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
- Massachusetts Lawyers Weekly Reports on Brief Submitted by Ian Roffman and Matt Connolly Regarding Duties of Directors in Corporate Mergers03.07.2017
- Forty-four Nutter Attorneys Recognized in 2015 Edition of Massachusetts Super Lawyers and Rising Stars10.30.2015
- Bloomberg News and Chicago Tribune quotes Ian Roffman in “Will shift in insider trading spell a comeback for Steve Cohen?”10.29.2015
- Ian Roffman quoted by Massachusetts Lawyers Weekly in “Stay no longer a certainty in joint SEC investigations”05.15.2014
- October 2013
- Ian Roffman quoted in Reuter’s article “SEC settles charges with Nebraska mutual fund trustees and servicers”05.02.2013
- Jonathan Kotlier and Ian Roffman present “Securities Enforcement: Recent Developments, Trial Strategies and Getting to a Non-Prosecution Agreement” at the Boston Bar Association04.05.2013
- October 2012
- Ian Roffman presents at the BBA’s Securities Fraud 2012: Recent Developments in Enforcement and How SEC Administrative Trials May Alter the Landscape05.16.2012
- Ian Roffman quoted in “Enforced Cooperation – Will the SEC’s new enforcement regime yield better results?”CFA Magazine, January/February 2012
- Ian Roffman featured speaker on "Transaction Risk Management and Litigation" at ACC’s Risk Management & In-House Counsel program09.16.2011
- Ian Roffman serves as panelist in Mass Lawyer's Weekly 2011 Business & Law Breakfast Forum: Sarbanes–Oxley (SOX) Whistleblower Litigation09.09.2011
- Jonathan Kotlier and Ian Roffman participate in BBA’s program “Securities Enforcement: What's Up at the SEC: Whistleblowing, Insider Trading, and the FCPA”04.06.2011
- Financial Services Law360, 01.01.2011
- Reuters, 12.16.2010
- Massachusetts Lawyers Weekly, 11.08.2010
- Banker & Tradesman, 10.31.2010
- Ian Roffman moderates BBA program “New Directions from the SEC: What SEC Defense Counsel Need to Know for 2010-2011”09.08.2010
- 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”04.06.2010
- Ian Roffman panelist at BBA program “View from Inside the SEC Concerning Negotiations, Settlements, and Trials”03.10.2010
- Reuters, 10.19.2009
- Jonathan Kotlier and Ian Roffman participate in BBA program “Securities Fraud 2009: Madoff, Trials, and the SEC's View on Enforcement”02.10.2009
- Ignites, 01.09.2009
- Ignites, 01.05.2009
- Ignites, 12.23.2008
- Jonathan Kotlier and Ian Roffman present at ECOA 2008 Annual Business Ethics and Compliance Conference09.26.2008
- New England In-House, March 2008
- Jonathan Kotlier and Ian Roffman host ECOA's webinar on personal liability for compliance professionals02.27.2008
- Ian Roffman, Jonathan Kotlier, and Seth Berman to Present at the Boston Bar Association’s Inaugural White Collar Crime ConferenceSeaport World Trade Center, 01.18.2018
- Jonathan Kotlier and Ian Roffman Present at the BBA’s Program ‘SEC/DOJ Priorities and Practices as a New Administration Unfolds’04.27.2017
- John Loughnane and Ian Roffman serve as organizers of the 2015 Bench and Bar Conference of the United States District Court “Innovation and Change”10.22.2015
- Ian Roffman presents on government investigation risks at ACC and Boston University’s executive education program09.29.2015
- Ian Roffman presents “Government Investigation Risk: Examining Internal and External Investigations” at ACC and Boston University executive education program10.08.2014
- Jonathan Kotlier and Ian Roffman present at the BBA’s program “Securities Enforcement 2014: An Inside Look at New Developments at the SEC, the USAO, and the Insider Trading Trials of the Year”04.09.2014
- Ian Roffman presents “Risk Management & In House Counsel” at the Association of Corporate Counsel (ACC) and the Boston University School of Management10.03.2013
- Ian Roffman presents at Boston Bar Association’s “Recent Developments and Ongoing Trends in FINRA Enforcement”04.10.2013
- Ian Roffman presents “Litigating and Winning Against the SEC in a Financial-Crisis-Era Complex Case” at the Boston Bar Association01.29.2013
- Ian Roffman presents at “Risk Management & In House Counsel” education program at the Association of Corporate Counsel (ACC) and the Boston University School of Management10.19.2012
- Ian Roffman presents at The Directors Roundtable program “Opportunities & Challenges in Mergers & Acquisitions”06.26.2012
- 02.15.2018 | Legal Update
- 12.26.2017 | Article
- 11.19.2014 | Legal Update
- 07.02.2014 | Legal Update
- Gabelli: Supreme Court Rules Against the SEC, Holding that 5-Year Statute of Limitations Starts When Conduct Occurs, Not When the SEC Discovers It02.28.2013 | Legal Advisory
- Ian Roffman publishes “When Your Government Thinks You’ve Been Unreasonable: The SEC’s New War on Negligence” in the BBA’s Securities Fraud 201205.16.2012 | Article
- Federal Appeals Court Rules for Fidelity, Holding Certain Employees Not Protected by Sarbanes-Oxley Whistleblower Law02.10.2012 | Legal Advisory
- April 2011 | Article
- July 9, 2010 | Article
- March 2010 | Article
- November 2009 | Article
- 12.05.2008 | Legal Advisory
- Ian Roffman publishes “Stockholder Freezeouts and Deadlocks” a chapter in MCLE’s book Organizing and Dissolving a Massachusetts Business(2008, rev. 2011) | Article
- March 2008 | Article
- February 2008 | Article
- The Best Lawyers in America, 2017-2018
- Massachusetts Super Lawyers, 2011-2017
- 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, 2017-2018
Education & Admissions
University of Chicago Law School, J.D.
University of Chicago, A.B.
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.
The Best Lawyers in America, 2017-2018
Massachusetts Super Lawyers, 2011-2017
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, 2017-2018