Ian D. Roffman
- T 617.439.2421
- F 617.310.9421
- E iroffman@nutter.com
- > Download full bio
Overview
Executives, boards, and companies rely on Ian’s advice when facing SEC investigations and other government inquiries, securities litigation, corporate governance disputes, and complex civil litigation. Clients also frequently engage Ian in connection with corporate internal investigations. An experienced securities lawyer, Ian served as Senior Trial Counsel in the SEC’s Boston office prior to joining Nutter.
Recent engagements have included:
- Defending Financial Industry Regulatory Authority (FINRA) in multiple state and federal court actions relating to broker disclosures
- Defending Treasurer of a New England state in an SEC investigation of municipal bond underwriting. No charges brought.
- Winning jury trial for Big Four accounting firm in accounting malpractice case.
- Defending founder of private equity firm in SEC insider trading investigation. No charges brought.
- Advising large international financial services firm in multiple SEC investigations.
- Representing large international investment adviser in multiple government investigations.
- Defending Fortune 200 technology company in SEC accounting investigation. No charges brought.
- Advising whistleblowers and nonparty witnesses in multiple SEC investigations.
- Defending banks in multiple regulatory investigations.
- Defending bank in investor class action alleging $1.3 billion loss.
- Defending banks in overdraft fee class actions.
- Defending General Counsel and CFO of pharmaceutical company in SEC/DOJ investigation. No charges brought.
- Defending CFO of technology company in SEC accounting investigation. No charges brought.
- Defending prominent physician in SEC insider trading investigation. No charges brought.
- Defending Head of Investor Relations of a Fortune 100 company in an insider trading investigation. No charges brought.
- Defending General Counsel of a $20 billion investment advisor in an SEC disclosure and trading investigation. No charges brought.
- Representing registered representatives in many state regulatory investigations
- Defending CFO of brand name retail company in SEC accounting investigation. No charges brought.
- Defending CFO of a hedge fund in SEC disclosure investigation. No charges brought.
- Defending CFO of a multi-national technology company in an FCPA investigation. No charges brought.
- Representing Fortune 100 financial service company in sales practice disputes.
- Advising CEO of top 5 broker-dealer in shareholder class action.
- Defending multiple banks in merger 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. In addition, Ian has also represented artists and musicians in various types of matters. His work on their behalf was recently recognized by the Massachusetts Volunteer Lawyers for the Arts with the Robert B. Fraser Award for pro bono excellence. He plays a leadership role in a number of civic, charitable, and bar organizations, and has coached more than 30 youth baseball teams.
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Experience
Experience
News & Insights
News
Speaking Engagements
Publications
Blog Posts
Honors
Honors
- Best Lawyers in America, 2017-2021
- Chambers USA, Leading U.S. Litigation: Securities Attorney, 2017-2020
- Massachusetts Super Lawyers, 2011-2020
- 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
In the Community
In the Community
- Council Member, Boston Bar Association, 2017-2020
- Co-chair, Amicus Advisory Board, Greater Boston Chamber of Commerce, 2019 – present
- Member, Boston Bar Association Judicial Independence Working Group, 2019
Education & Admissions
Education
University of Chicago Law School, J.D.
University of Chicago, A.B.
Admissions
- Massachusetts
- Illinois
Practices
Industries
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, 2017-2021
- Chambers USA, Leading U.S. Litigation: Securities Attorney, 2017-2020
- Massachusetts Super Lawyers, 2011-2020
- 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