JAMES BOWDEN, JR. is an associate in Sidley’s Washington, D.C. office and a member of Sidley’s Securities and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation.
His practice is focused on the defense of public and private institutions as they navigate the complexities of enforcement proceedings and internal investigations. He regularly represents public companies, broker dealers, financial services firms, hedge funds, accounting firms and individuals in investigations by the SEC, FINRA, DOJ and state regulators for an array of alleged violations. His enforcement practice regularly involves the defense of complex product and trading issues. He has also conducted internal investigations in a wide range of matters involving allegations of criminal, civil and ethical misconduct. James has extensive experience with electronic discovery.
James’ recent matters include:
- Represented company management in SEC investigation of SEC rule violations
- Conducted internal investigation of whistleblower complaint of alleged internal control and policies violations
- Defending a Nationally Recognized Statistical Rating Organization before the SEC in a broad range of alleged regulatory violations
- Representing broker-dealers in SEC and FINRA investigations of a broad range of alleged regulatory violations
- Defending a technology and trading firm before the New York Stock Exchange Regulation