Neil Smith is a partner in K&L Gates’ Boston office, where he is member of the Investigations, Enforcement and White collar practice group. His practice focuses on government investigations, securities enforcement, internal investigations, financial regulatory enforcement, and white collar defense. In particular, he has extensive experience conducting global investigations involving violations of the Foreign Corrupt Practices Act and other anti-corruption laws.
Neil represents corporations and individuals in a wide range of criminal and civil matters, including investigations conducted by the U.S. Department of Justice and Securities and Exchange Commission, and other federal and state criminal and civil regulatory authorities. His practice also involves counseling clients on best practices and risk mitigation strategies in securities regulation, anti-corruption policies, and FCPA compliance.
Prior to joining the firm, Neil served as senior counsel in the Enforcement Division of the U.S. Securities and Exchange Commission (“SEC”) for more than six years, where he was a member of the SEC’s Foreign Corrupt Practices Act specialized unit. He is a recognized expert in FCPA enforcement and a frequent speaker at industry conferences. His experience includes extensive collaboration with U.S. and foreign criminal and regulatory authorities in complex, cross-border investigations. While at the SEC, Neil also had extensive experience investigating financial services firms and other companies for violations including securities fraud, investor misrepresentations, and marketing violations.