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Stephen G. Topetzes

Steve Topetzes is a partner in the firm's Washington, D.C. office. His practice centers on the defense of financial services clients and other companies or individuals with respect to government investigations, regulatory or private litigation, and corporate internal investigations. He represents public companies, boards of directors, banks, broker-dealers, investment advisers, investment companies, underwriters, and individuals in investigations or examinations by the United States Securities and Exchange Commission (SEC), the United States Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the United States Department of Housing and Urban Development (HUD), the Consumer Financial Protection Bureau (CFPB), federal banking regulators, and state securities regulators or attorneys general. He also has extensive experience handling complex litigation, regulatory enforcement proceedings, class action lawsuits, mutual fund excessive fee litigation, and arbitrations.

Steve advises clients with respect to investigations or litigation involving:

  • Corporate disclosure issues 
  • Broker-Dealer regulation
  • Securities sales practice, investment banking or asset securitization issues
  • Investment management and registered or private funds
  • Accounting irregularities and financial reporting issues
  • Alleged insider trading or market manipulation
  • Conflicts of interest or asserted corporate governance failures
  • Claims against corporate officers or directors
  • Compliance or supervisory issues
  • Mortgage origination and servicing
  • Whistleblowers
  • The False Claims Act and FIRREA
  • Municipal Securities
  • Anti-Money Laundering Procedures

His practice includes frequent representation of accountants and lawyers with respect to regulatory investigations or proceedings and related shareholder claims.

Steve was selected as one of the finest law firm writers of 2016 as announced by The Burton Awards, in association with the Library of Congress, and co-sponsored by the American Bar Association. He has also been named by U.S. News & World Report- Best Lawyers the 2015 “Lawyer of the Year for Securities Regulation in Washington, DC.  Listed in Best Lawyers since 2010, Steve has consistently received recognition from Best Lawyers in the categories of Securities Regulation and Litigation - Securities.  Steve also has received the Martindale-Hubbell® AV® Preeminent™ 5.0 out of 5 rating (the highest possible peer review rating in legal ability and ethical standards for all lawyers) for many years. In addition, he is consistently selected to Super Lawyers in the category of Securities Litigation.

Additional Thought Leadership Pages

Steve is a regular speaker and author regarding topics related to government enforcement, corporate governance, and internal investigations.

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