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Vincente L. Martinez

Fax +1.202.778.9100

Vince Martinez is a partner in the Washington, DC office.  His practice focuses on counseling and defending financial services firms, companies, and individuals facing government examinations, investigations, and charges.  Mr. Martinez has a distinguished history of leadership at the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), where he established and developed regulatory programs that coordinated the enforcement efforts of multiple agencies, including the SEC, the CFTC, the Department of Justice (DOJ), and the Financial Industry Regulatory Authority (FINRA).  He was also a decorated SEC enforcement attorney and officer who investigated, litigated, and directed the enforcement of numerous anti-fraud actions.  Earlier in his career, Mr. Martinez worked as a private transactional attorney and litigator.

Mr. Martinez’s experience includes matters involving:

  • Issuer financial and accounting frauds
  • Issuer disclosure violations
  • Off-exchange investment frauds
  • Over-the-counter market manipulation
  • Insider trading
  • Class action defense
  • Cybersecurity requirements for financial services companies
  • SEC and CFTC whistleblower issues
  • False Claims Act litigation
  • Debt and equity offerings
  • Anti-money laundering procedures

Mr. Martinez’s experience and skills in government enforcement and litigation are ideally suited for clients facing inquiries or charges from regulatory and law enforcement authorities.  Given his broad knowledge of the law and his experience in establishing regulatory programs and control environments, he is also an excellent resource for clients attempting to understand and meet their regulatory compliance obligations. Mr. Martinez also helps financial services companies manage their cybersecurity and privacy obligations by developing information security policies, procedures, incident response plans and business continuity plans.

Professional Background
Mr. Martinez worked in the SEC’ Division of Enforcement for almost twelve years.  As an enforcement staff attorney and senior counsel, he brought numerous actions against corporations and individuals, obtained tens of millions of dollars in penalties and disgorgement, and helped secure two convictions in parallel criminal prosecutions.

Mr. Martinez served as an Assistant Director and Senior Officer in the Enforcement Division for five years.  He most recently led the Enforcement Division’s Office of Market Intelligence (OMI).  OMI conducts market surveillance, supports trading-based investigations, and collects, analyzes, and disseminates tips, complaints, referrals, and other forms of intelligence submitted to the SEC by the public, whistleblowers, self-regulatory organizations, and other government agencies.  During his tenure as Chief of OMI, Mr. Martinez oversaw efforts to remove dormant shell companies from the market, support an enforcement sweep of violations of Regulation M Rule 105, and identify broker-dealers not in compliance with their Bank Secrecy Act obligations.  He was also involved in numerous initiatives and task forces to improve the SEC’s data analytics capabilities, coordinate its cybersecurity efforts, and develop relationships among multiple regulatory and law enforcement agencies.

Prior to becoming the Chief of OMI, Mr. Martinez established the CFTC’s whistleblower program and served as the first Director of the CFTC’s Whistleblower Office.

Before joining the SEC in 2003, Mr. Martinez spent six years in private practice in New York and Washington, DC, as a corporate transactional attorney focusing on debt offerings and as a litigator with a diverse practice that included False Claims Act and class-action defense.

Additional Information
Mr. Martinez spent his third year of law school at Harvard under the Boalt-Harvard Exchange Program and was the Technical Editor for the Harvard Latino Law Journal.

Speaking Engagements

  • 3/15/18: Panel, Spotlight on Cybersecurity: Smaller Firms, IAA Investment Adviser Compliance Conference 2018, Washington, DC,
  • 1/12/17:  Panel, Cyber-Security and Securities Fraud – from Hacking to Spoofing, American Bar Association 11th Annual National Institute on Securities Fraud, Park City, UT.
  • 11/2/16:  Panel, Big Data – The New Enforcement Frontier, DC Bar Sections Program, Washington, DC.
  • 10/13/16:  Panel, Whistleblower Update, Securities Docket Securities Enforcement Forum, Washington, DC.
  • 9/29/16:  Panel, Federal and State Enforcement for Invasion of Privacy, Data Breaches, Failure to Comply with Notification Statutes Including the Impact of Recent CFPB Consent Orders for Misrepresentation of Security Practices, and Increased Focus from SEC and FINRA Regarding Cyber Security, American Conference Institute’s (ACI) 2nd National Forum on Data Breach & Privacy Litigation and Enforcement, New York, NY.
  • 7/26/16:  Panel, View from Speakers at DOJ and SEC: Cooperation Agreement Tools, Shifts in Corporate Civil and Criminal White Collar Investigations, Prosecuting Corporate Misconduct and Holding Individuals Accountable, and the Impact of It All on D&O, ACI 20th National Forum on Directors & Officers and Management Liability, New York, NY.
  • 6/8/16:  Keynote Luncheon Speech, The Challenges of Regulating in the Wake of Technological Innovation, Regulation of Financial Services 2016, Thomson Reuters Legal Executive Institute, Washington, DC.
  • 5/5/16:  Panel, Cybersecurity: Operational Preparedness for Risk Reduction and Meeting Regulatory Expectations, Securities Industry and Financial Markets Association (SIFMA) 43rd Annual Operations Conference, Miami Beach, FL.
  • 3/17/16:  Panel, Federal and State AG Enforcement for Invasion of Privacy, Data Breaches, and Failure to Comply with Notification Statutes: FTC Authority & Litigation, Wyndham Case Implications, Multi-State/Agency Investigation and Audits, Negotiation, Settlement, Trial, and How the Various Actions Are Proceeding and Being Resolved, ACI Data Breach & Privacy Litigation and Enforcement Conference, Philadelphia, PA.
  • 2/26/16:  Featured Speaker, Meet Your Regulator, IA Watch 18th Annual IA Compliance Spring 2016 Conference, Washington, DC.
  • 2/11/16:  Panel, Ask the Regulator and Industry Experts, FINRA Cybersecurity Conference, New York, NY.
  • 11/11/15:  Panel, Cybersecurity: From Risk to Resilience, Fordham Law School compliance series in partnership with Accenture, New York, NY.
  • 10/20/15:  Panel, Talking to Boards about Cybersecurity: A Corporate Governance View, Association of Corporate Counsel 2015 Annual Meeting, Boston, MA.
  • 10/15/15:  Lecture, Accounting and Financial Fraud, Securities Regulation II, Howard University Law School, Washington, DC.
  • 10/5/15:  Panel, Emerging Regulatory, Legislative, and Enforcement Activities and Breach Notification Requirements, ACI’s 17th Advanced Global Legal and Compliance Forum on Cyber Security and Data Privacy & Protection, Houston, TX.
  • 9/4/15:  Panel, Protecting Your Client from Emerging Trends in Cybersecurity, 2015 Hispanic National Bar Association (HNBA) Annual Convention, Boston, MA.
  • 6/16/15:  Panel, Ask Uncle Sam: The Government’s Perspective on Cybersecurity, ALM Mid-Year Cybersecurity and Data Protection Legal Summit, New York, NY.
  • 6/2/15:  Panel, Regulator Perspectives on Cyber Issues, SIFMA Cyber Legal Seminar, New York, NY.
  • 5/27/15:  Panel, Detecting and Fighting Fraud: Present Day Stories, FINRA Annual Conference, Washington, DC.
  • 3/20/15:  Panel, Lock Your Systems! Best Practices to Handle the Legal Issues Arising from Complex Privacy Breaches, 2015 HNBA Corporate Counsel Conference, San Antonio, TX.
  • 2/3/15:  Panel, Regulatory Perspectives on Cybersecurity, FINRA / SIFMA Cybersecurity Conference, New York, NY.
  • 1/22/15:  Panel, OCIE’s Cyber Security Initiative:  Understanding the Exposure, ACI’s 4th National Forum on Securities Litigation & Enforcement, New York, NY.
  • 11/21/14:  Panel, Securities and Investment Risk Management Issues: Digital and Virtual Currency as Securities and Investment Contracts, The Latest on Ponzi Schemes Using Virtual Currencies, the Environment for Unregistered Securities Offerings, Venture and Angel Investment in Virtual Currency Start Ups, and More, ACI’s Virtual & Digital Currency and Payment Systems Conference, New York, NY.
  • 10/16/14:  Lecture, Accounting and Financial Fraud, Securities Regulation II, Howard University Law School, Washington, DC.
  • 2/18/14:  Panel, Preparing for and Responding to Emerging Federal Enforcement and Regulatory Initiatives, ACI’s 3rd National Forum on Securities Litigation & Enforcement, Washington, DC.
  • 9/21/13:  Lecture, Intermediate Accounting, University of Maryland, Washington, DC.
  • 5/20/13:  Fraud Prevention Panel, FINRA Annual Conference, Washington, DC.
  • 5/9/13:  Professional Responsibility Panel, Futures Industry Association (FIA) Law & Compliance Division Conference, Baltimore, MD.
  • 4/22/13:  Seminar, Developments in Whistleblower Programs, Cornell Law School, Ithaca, NY.
  • 1/30/13:  Panel, C5’s European Forum on Anti-Corruption, Frankfurt, Germany.
  • 12/4/12:  Compliance Panel, West LegalEdcenter Corporate Whistleblower Summit, New York, NY.
  • 11/20/12:  Taped Interview, Taxpayers Against Fraud.
  • 10/19/12:  Lecture, Understanding the CFTC and SEC Whistleblower Programs, New York Chapter of the Association of Certified Fraud Examiners, New York, NY.
  • 9/14/12:  Panel, Taxpayers Against Fraud Education Fund Conference, Washington, DC.
  • 9/6/12:  Regulatory Panel, Information Management Network Dodd-Frank Title VII Conference, New York, NY.
  • 6/22/12:  Panel, What’s So Hard about Compliance Anyway, PLI Audit Committee Workshop, New York, NY.
  • 6/6/12:  Whistleblower Panel, Compliance Week Annual Conference, Washington, DC.
  • 5/10/12:  Professional Responsibility Panel, FIA Law & Compliance Division Conference, Baltimore, MD.
  • 4/30/12:  Whistleblower Chiefs’ Panel, OffshoreAlert Conference, Miami, FL.
  • 4/18/12:  Program, CFTC and SEC Whistleblower Programs, DC Bar, Washington, DC.
  • 4/10/12: Lecture, Advanced Studies in Federal Securities Regulation:  Policy and Practice, Georgetown University Law School, Washington, DC.
  • 3/27/12:  Lecture, Regulation of Derivatives, American University Law School, Washington, DC.
  • 3/22/12:  Lecture, Financial Regulatory Reform Seminar, George Washington University Law School, Washington, DC.
  • 3/15/12:  Luncheon Presentation on the CFTC and SEC Whistleblower, Programs, IA Watch Conference, Washington, DC.
  • 3/14/12:  Webcast, Insights from the Chiefs of the SEC and CFTC Whistleblower Offices, Compliance Week, Washington, DC.

Additional Information

  • 12/8/16: Article, 12 Things to Know about the SEC Whistleblower Program, Securities Law 360