James Amler is a counsel in the firm’s White Collar & Regulatory Group, Investment Management Litigation Group and FinTech Group. Mr. Amler’s ...
Read Full Biography
- A major financial institution in a SEC investigation related to financial reporting issues.
- A large retail investment adviser in an investigation of the use of proprietary products in discretionary investment programs.
- A hedge fund manager in an SEC investigation related to the valuation of structured products.
- A registered investment company in an SEC investigation of alleged dealer-interposed cross-trades.
- Successful defense of a hedge fund managing director in an SEC insider trading investigation involving PIPEs transactions.
- A large retail investment adviser, in its settlement arising from the SEC’s Share Class Selection Disclosure Initiative.
- Regular advice to mutual fund, hedge fund and private equity sponsors in SEC examinations.
- Cloudmode LLC in blockchain token launches.
- A major global financial institution in federal and state regulatory investigations relating to auction-rate securities.
- JPMorgan Chase in the dismissal with prejudice of a borrower class action alleging kickbacks relating to a captive mortgage reinsurance program in alleged violation of the Real Estate Settlement Practices Act.
- University of Michigan Law School, 2007, J.D.
- University of North Carolina at Chapel Hill, 1999, B.A.