“ My extensive experience at the SEC gives me unique insight when counseling financial institutions and issuers through investigations and potential litigation.
Michael Birnbaum regularly counsels U.S. and global financial institutions, including commercial and investment banks, audit and accounting firms, investment advisers, broker-dealers, and securities issuers in internal and government investigations, regulatory enforcement proceedings, and private civil litigation.
As a former Senior Trial Counsel at the U.S. Securities and Exchange Commission (SEC), Michael has extensive experience overseeing securities litigation before federal and administrative courts. During his 11 years at the SEC, he investigated and litigated matters arising under the Securities Act of 1933, the Securities and Exchange Act of 1934, the Foreign Corrupt Practices Act, and others.
Throughout his tenure at the SEC, Michael worked closely with SEC investigative units, including the Asset Management Unit, the Market Abuse Unit, and the Complex Financial Instruments Unit, as well as with attorneys at various U.S. Attorney’s Offices, the Manhattan District Attorney’s Office, and foreign securities regulators.
A seasoned trial attorney, Michael has obtained significant results—including at trial—in matters involving investment funds and other financial institutions involving allegations of fraudulent securities offerings and registration violations, as well as supervisory failures related to the sale of securities.Show More