In addition to leading the firm’s Securities Enforcement and Litigation practice, Ian served a six-year term on the firm’s governing Executive Committee and was chair of the firm’s litigation department. He currently serves as co-chair of the Amicus Committee of the Boston Bar Association and has served as co-chair of the Amicus Board for the Greater Boston Chamber of Commerce. He has held a number of roles with the Boston Bar Association, including Council member. He has also played a leadership role in a number of civic and charitable organizations, including board vice-chair of a community mental health center and board chair of a local education foundation.

On a pro bono basis, Ian has represented artists and musicians in various types of matters in support of their individual artistic and creative efforts. His work on their behalf was recognized by the Massachusetts Volunteer Lawyers for the Arts with the Robert B. Fraser Award for pro bono excellence.

Ian is often quoted about the SEC and corporate governance by media outlets and is a frequent speaker and lecturer before bar, industry, and academic organizations. In his free time, he has coached more than 30 youth baseball teams.

Representative engagements include:

Asset Managers, Broker-Dealers, and Financial Services:

• Defeating SEC intentional fraud charges for registered investment adviser after 7-day jury trial.
• Representing large international asset manager in multiple government investigations relating to fiduciary obligations and potential conflicts of interest.
• Advising large international financial services firm in multiple SEC investigations relating to investments.
• Representing dual-registered investment adviser and broker-dealer in SEC investigations relating to conflict disclosures.
• Representing Fortune 100 insurance company in many civil matters and investigations relating to customer complaints and producer non-competes.
• Defending C-level executive of Fortune 500 asset manager in SEC investigation relating to fiduciary duties.
• Representing co-founder of hedge fund in SEC and DOJ government investigations and investor arbitrations relating to fiduciary obligations and investor disclosures.
• Defending General Counsel of a large asset manager in an SEC disclosure and trading investigation.
• Representing multiple small asset managers in SEC investigations relating to potential conflict disclosures.
• Representing trader in SEC investigation relating to underwriting rules.
• Defending Chief Compliance Officer of Fortune 300 financial services company in government investigation.

Public Companies and Accountants:

• Winning jury trial for Big Four accounting firm in accounting malpractice claim.
• Asserting constitutional challenge to PCAOB disciplinary hearings.
• Defending Fortune 200 technology company in SEC accounting investigation relating to reserves and revenue recognition.
• Defending CEO of publicly traded financial services firm in shareholder class actions relating to accounting disclosures.
• Defending CFO of brand name retail company in SEC accounting investigation.
• Defending General Counsel and CFO of pharmaceutical company in SEC/DOJ investigation.
• Defending CFO of technology company in SEC accounting investigation.
• Defending auditors in PCAOB investigation relating to alteration of workpapers.

Banks and Credit Unions:

• Defending bank in investor class action alleging $1.3 billion loss.
• Defending bank and executives in FDIC investigation relating to lending.
• Defending bank and executives in FDIC investigation relating to customer fraud.
• Defending multiple banks and credit unions in overdraft fee class actions.
• Defending multiple banks in PPP agency fee class actions.
• Defending multiple banks in merger litigation.

Government and Regulators

• Representing federal agency head in public corruption investigation.
• Representing Financial Industry Regulatory Authority (FINRA) in multiple state and federal court actions relating to broker disclosures and expungements.
• Representing Office of the Treasurer of a New England state in an SEC investigation of municipal bond underwriting.
• Appointed Special Assistant Attorney General to defend elected Sheriff in consumer class action.

Insider Trading and Investors

• Defending doctor in SEC insider trading investigation relating to trades before disclosure of clinical trial results
• Defending founder of private equity firm in SEC insider trading investigation relating to trading by spouse in firm portfolio companies.
• Defending prominent physician in SEC insider trading investigation relating to knowledge of clinic trials.
• Defending relatives of private equity investor in SEC insider trading investigation relating to trading in relatives’ companies.
• Defending business partner of corporate insider in SEC insider trading investigation relating to trading in insider’s company.
• Defending investor in Section 15 disclosure disputes.
• Defending trader in SEC market manipulation investigation.

Internal Investigations

• Conducting internal investigation for public company bank relating to whistleblower allegations by former CFO.
• Conducting internal investigation for governmental entity concerning compliance with ethics rules by senior personnel.
• Conducting internal investigation for charitable entity concerning potential financial misconduct by CFO.
• Conducting internal investigation for bank concerning potential misconduct by former CEO.
• Conducting internal investigation for charitable trust concerning potential financial conflicts by trustees.
• Conducting internal investigation for special committee of large construction company concerning accounting disclosures.
• Conducting internal investigation for publicly traded technology company concerning reserve disclosures.

Whistleblowers

• Advising whistleblower in hedge fund fraud matter that resulted in successful SEC action and whistleblower award.
• Advising whistleblower in public company disclosure matter relating to FDA approval process.
• Advising whistleblower in shareholder activist insider trading matter.