ABOUT
Richard Margolies, a partner in King & Spalding’s Government Matters practice, has extensive experience in complex government and regulatory investigations, enforcement actions, securities and accounting violations and compliance procedures. As a former Senior Counsel in FINRA’s Department of Enforcement, Richard handled numerous matters concerning securities fraud, conversion, market manipulation, mutual funds, unlicensed sale of securities, private securities transactions, outside business activities, suitability, Regulation S-P, anti-money laundering, corporate finance, and advertising regulations. Richard also served as lead counsel for Enforcement in a litigated matter involving novel issues pertaining to foreign investment through the United States EB-5 program.
Prior to joining FINRA, Richard spent over twelve years in private practice where he litigated, both in state and federal courts, numerous complex class actions in the fields of securities, consumer financial services, mergers and acquisitions and corporate governance. During that time, Richard served as lead counsel in matters involving violations of the federal securities laws, breaches of fiduciary duty, insider trading, market manipulation, improper financial reporting and accounting fraud.
