Mike Dyson is a partner in the firm’s Washington, D.C. office. He focuses his practice on securities litigation, enforcement, arbitration, regulation, and compliance. He has extensive experience representing broker-dealers, other financial institutions, public and private companies, officers, and directors in enforcement investigations and examinations before the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), and other federal and state government agencies. Mike also advises clients on regulatory and compliance matters, including developing effective policies and procedures for broker-dealers and chief compliance officers.
Prior to joining the firm, Mike was senior counsel to the Financial Industry Regulatory Authority (FINRA). He was responsible for reviewing regulatory and compliance referrals by the Market Regulation and Enforcement staff against broker-dealers and/or brokers involving violations of ethical rules and federal securities laws; rules and regulations identified in the course of FINRA cycle examinations, audits, industry sweeps, and customer complaints; termination notices and investigations by the Office of Fraud Detection and Market Intelligence; tips to the Office of the Whistleblower; special investigations; and making a determination, based on an analysis of the sufficiency of evidence and applicable law, whether FINRA should pursue formal disposition of the recommended charges.
Mike also represented FINRA in disciplinary hearings, expedited proceedings, and settlement negotiations as well as served as lead counsel in special investigations of potential misconduct in violation of FINRA, NASD, NYSE, Nasdaq, and MSRB rules; the Securities Act of 1933; the Securities Exchange Act of 1934; the Investment Advisers Act of 1940; and other federal securities laws, rules, and regulations.
Mike was previously a partner at another Washington, D.C. law firm, where he successfully litigated all aspects of cases from commencement through appeal. He has particular experience representing financial services clients in various civil and criminal matters, with a concentration on complex civil cases, white-collar criminal litigation, and securities enforcement and regulation matters.
- Securities Industry and Financial Markets Association (SIFMA), Compliance and Legal Society
- Panelist, “FERC and CFTC Enforcement Trends,” K&L Gates/Ernst & Young Energy Trading Policy, Compliance, and Enforcement Trends in Today’s Evolving Regulatory Landscape, Houston, TX, April 18, 2017
- Panelist, “Compliance and Enforcement,” K&L Gates ETF Think Tank, New York, NY, March 9, 2017
- Panelist, “SEC, CFTC, FINRA, and NFA - Examinations and Enforcement,” K&L Gates Chicago Investment Management Conference, Chicago, IL, January 26, 2017
- Panelist, “Hot Topics in Enforcement,” K&L Gates 2017 Investment Management Conference, Washington, DC, November 2, 2017