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K&L Gates Adds Former FINRA Senior Counsel as Washington, D.C., Government Enforcement Partner

5 January 2017
Washington, D.C. - Global law firm K&L Gates LLP welcomes Michael T. Dyson as a partner in the government enforcement practice of its Washington, D.C., office. Dyson joins K&L Gates from the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.

Dyson has nearly 20 years of public and private sector regulatory and enforcement experience with a concentration on complex civil and white-collar criminal litigation and domestic and international arbitration in industry sectors such as securities, internal investigations, real estate, construction, labor and employment, antitrust, professional liability, product liability, and technology.

While at FINRA, he was responsible for reviewing and analyzing regulatory and compliance referrals involving violations of ethical rules, federal securities laws, and other rules and regulations identified during FINRA examinations, audits, industry sweeps, customer complaints, termination notices, investigations, and tips to the FINRA Office of Fraud Detection and Market Intelligence and the Office of the Whistleblower.

He also represented FINRA in disciplinary hearings, expedited proceedings, and settlement negotiations. Additionally, he served as lead counsel in special investigations of potential misconduct in violation of FINRA, National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), NASDAQ, and Municipal Securities Rulemaking Board (MSRB) rules, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and other federal exchange and securities laws, rules, and regulations.

“Michael is a fantastic addition to our government enforcement team,” said David T. Case, administrative partner of K&L Gates’ Washington, D.C., office. “His deep knowledge of FINRA reviews, regulations, and enforcement actions will provide our clients with a valuable resource in an uncertain regulatory environment.”

K&L Gates’ leading government enforcement practice has more than 100 lawyers globally and includes former U.S. and state attorneys general, Securities and Exchange Commission (SEC) staff, assistant United States attorneys, heads of state securities regulators, and staff lawyers from FINRA, the Commodity Futures Trading Commission (CFTC), bank regulatory agencies, the Federal Trade Commission, the Department of Justice in Hong Kong, and numerous other law enforcement agencies.

K&L Gates comprises approximately 2,000 lawyers globally who practice in fully integrated offices located on five continents. The firm represents leading multinational corporations, growth and middle-market companies, capital markets participants and entrepreneurs in every major industry group as well as public sector entities, educational institutions, philanthropic organizations and individuals. 
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