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Erin Ardale Koeppel

Partner
+1.202.778.9420
Fax +1.202.778.9100

 Erin Koeppel is an experienced government enforcement lawyer who defends financial services clients and other companies and individuals in government investigations, regulatory or private litigation and corporate internal investigations. Ms. Koeppel regularly represents broker-dealers, investment advisers, investment companies, public companies, boards of directors, corporate officers, accountants and other individuals in governmental investigations and enforcement proceedings brought by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of Justice (DOJ) and other federal and state government agencies. She also has extensive experience handling complex securities and financial services litigation, including class actions, shareholder derivative lawsuits and securities arbitrations.

Ms. Koeppel advises clients with respect to investigations or litigation involving:

  • Broker-dealer regulation
  • Securities sales practices, including regarding complex financial products and retirement investments
  • Investment management and registered or private funds
  • Anti-money laundering (AML)
  • Cybersecurity
  • Corporate disclosure issues
  • Accounting irregularities and financial reporting issues
  • Alleged insider trading or market manipulation
  • Conflicts of interest or asserted corporate governance failures
  • Government contracts
  • Claims against corporate officers or directors
  • Compliance or supervisory issues
  • Freedom of Information Act requests or protections

Her practice also includes counseling clients with respect to corporate governance and compliance matters, as well as drafting compliance policies, procedures and training materials for various companies. Ms. Koeppel also regularly assists clients in responding to regulatory examinations.

Ms. Koeppel is the Washington, D.C. office's pro bono coordinator and is a member of the firm-wide pro bono committee.

Ms. Koeppel’s representative experience includes:

  • Defending senior accounting officer at Fortune 100 company with respect to SEC action involving alleged billion dollar revenue recognition fraud; all claims against client dismissed before trial after extensive litigation. 
  •  Defending mutual fund directors in SEC investigation regarding adequacy of contract renewal (Section 15(c)) process and related disclosures; investigation concluded with no action against clients.
  • Winning summary judgment on behalf of hedge fund investment adviser and managers on claims brought by the SEC under the anti-fraud provisions of the federal securities laws relating to valuation of the fund’s portfolio and alleged misrepresentations in stock purchase agreement.
  • Representing investment adviser to large mutual fund complex and affiliated broker-dealer in shareholder lawsuit alleging excessive fees and improper relationships with securities firms that sold mutual fund shares; obtained dismissal of all claims against clients.
  • Conducting global internal investigation of U.S. affiliate of Japanese public company concerning financial reporting and internal controls.
  • Defending independent board of trustees of mutual fund company in shareholder derivative lawsuit alleging breach of fiduciary duty.
  • Defending investment adviser in breach of contract claim brought by SEC Receiver in enforcement action
  • Serving as counsel to the bankruptcy examiners appointed with respect to WorldCom and New Century Financial Corporation and assisted the examiners in conducting complex investigations that focused on reported accounting irregularities.
  • Defending broker-dealer and executive in FINRA disciplinary proceeding relating to alleged violations of anti-money laundering laws and regulations.
  • Representing broker-dealer in SEC examination regarding sales practices relating to retirement investments, including individual retirement account roll overs and the federal thrift savings plan.
  • Counseling investment adviser regarding anti-money laundering and cybersecurity matters.
  • Defending broker-dealer and individuals in multiple SEC and FINRA investigations involving sales and exchanges of variable annuities.
  • Defending broker-dealers and investment advisers with respect to multiple investigations by the SEC and FINRA regarding revenue sharing involving mutual funds or other products.
  • Defending broker-dealer in connection with SEC cybersecurity investigation.
  • Conducting internal investigation of government contractor with regard to potential violations of the False Claims Act and Anti-Kickback Act.
  • Conducting internal investigation of mortgage broker regarding potential violations of the False Claims Act and other federal and state laws.
  • Defending broker-dealers in FINRA arbitrations involving customer disputes and member controversies.
  • Representing large broker-dealer in securities class action alleging excessive markups on bonds.
  • Defending former research analyst in CFA Institute Professional Conduct Program proceeding.
  • Defending appraisal management company in action brought by FDIC as receiver for failed bank.
  • Defending appraisal management company in state disciplinary actions regarding mandatory reporting obligations and customary and reasonable fees.

Achievements

  • Recognized as a Washington, D.C. “Rising Star” for Securities Litigation

Professional/Civic Activities

  • American Bar Association
  • District of Columbia Bar Association
  • New York State Bar Association
  • Women’s White Collar Defense Association