Julie M. Riewe is a litigation partner and a member of the firm’s White Collar & Regulatory Defense Group. Her practice focuses on securities-related ...
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- Oaktree in its settlement with the SEC relating to alleged violations of the pay-to-play provisions of the federal securities laws.
- Robinhood in its SEC and FINRA settlements relating to best execution practices and payment for order flow.
- A large private equity adviser in an SEC settlement involving allegedly improper expense allocations by its real estate investment portfolio company.
- A business development company adviser and private fund adviser in their SEC settlement relating to alleged violations of co-investment exemptive order conditions.
- A global pharmaceutical company in its settlement with the SEC for alleged disclosure failures.
- A credit rating agency in its settlement with the SEC for alleged internal controls failures.
- A leading real estate funds adviser in an SEC investigation related to its engagement of a service provider that resulted in a declination by the government.
- A large global hedge fund adviser in an SEC investigation related to alleged Rule 105 violations.
- Tiber Creek Corporation and two individuals in their settlements with the SEC for alleged unregistered broker-dealer activity.
- A prominent global hedge fund adviser in multiple SEC and FINRA examination and enforcement matters.
- A prominent private equity adviser focused on technology investments in various SEC /DOJ investigations.
- A leading fund-of-funds adviser in an SEC/DOJ investigation related to an underlying investment.
- A clearing firm and its subsidiaries in various SEC examination and enforcement matters.
- A Fortune 500 life insurance company and its subsidiaries in two SEC investigations.
- A prominent fund administrator in an SEC odd lot valuation investigation.
- A hedge fund in an SEC investigation related to revenue recognition practices.
- A chief financial officer of an international energy services company in an SEC investigation related to revenue recognition practices.
- A large financial services institution in an SEC investigation focused on its share class selection and revenue sharing arrangements that resulted in a declination by the government.
- A large financial services institution in an SEC investigation of its sales practices and revenue sharing arrangements.
- A high-profile financial information content provider in an SEC investigation that resulted in a declination by the government.
- A prominent hedge fund adviser in SEC investigations related to CDS and other trading.
- A fixed income hedge fund adviser in an SEC investigation related to alleged cross transactions.
- A CDO manager and its affiliates in an SEC examination.
- A family office of the principal of a large private equity firm in negotiating a compliance governance framework between the family office and the firm.
- A Fortune 100 financial services company in an internal investigation related to soft dollars.
- Leading private equity fund advisers in SEC routine examination preparation, as well as examinations focused on fee and expense allocations, conflicts disclosures, secondary transactions, relationships with affiliates, and alleged pay-to-play rule violations.
- Prominent private equity fund and hedge fund advisers in fee and expense allocation remediation projects.
- Duke University School of Law, 1999, J.D.
- Duke University, 1999, M.P.P.
- Duke University, 1993, A.B.