ASHLEY PFEIFFER is counsel in the Securities Enforcement and Regulatory practice in the firm’s New York Litigation group, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Ashley represents investment advisers, financial institutions, broker-dealers, public companies and senior corporate officers in a wide variety of investigations and enforcement matters brought by government agencies and other regulators, including the SEC, FINRA, the Department of Justice, state attorneys general, the New York State Department of Financial Services, and other federal and state regulators. She has also represented entities and individuals in securities, complex commercial, bankruptcy and appellate matters in federal and state courts and in arbitration proceedings.
Ashley’s recent experience includes the following, for example:
- Investment Adviser Conflicts and Compliance. Representing investment advisers and principals in investigations concerning regulatory priority issues, such as allocation of investments among multiple hedge funds and managed accounts, disclosure of potential and actual conflicts of interest, and adequacy of compliance procedures.
- Insider Trading. Representing public companies and an individual in SEC investigations and assisting an investment adviser in an internal investigation into potential insider trading.
- MNPI Protection. Defending and advising hedge fund advisers, private equity firms and broker-dealers regarding Exchange Act Section 15(g) and Advisers Act Section 204A policies and procedures to prevent the potential misuse of material nonpublic information, such as through insider trading and trading ahead of customer orders.
- RMBS. Defending an international bank in U.S. Department of Justice (DOJ), SEC, state attorney general and other multi-year investigations into the creation and underwriting of Residential Mortgage-Backed Securities.
- Financial Reporting. Representing a public company official in an SEC investigation into accounting issues.
SERVICES AND INDUSTRIES
- Securities Enforcement and Regulatory
- Shareholder Activism and Corporate Defense
- Broker-Dealer Litigation and Arbitration
- Consumer and Other Financial Services Litigation and Enforcement
- Financial Reporting and Disclosures
- Hedge Funds
- Insider Trading
- Internal Investigations
- Investment Adviser Enforcement
- Investment Advisers
- Investment Advisers and Mutual Funds
- Market Structure and Broker-Dealer Operations
- Public Companies
- Registered Funds
- Securities Enforcement
- Securities Regulatory Counseling and Compliance
Admissions & Certifications
- New York
- Fordham University School of Law, J.D., 2008
- Princeton University, A.B., 2004 (Donald E. Stokes Dean's Prize)