Richard M. Rosenfeld

Washington,  DC  U.S.A.
Phone202 263 3130

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Practice Areas

  • Consumer Financial Protection Bureau
  • FCPA/Anti-Corruption and Anti-Bribery
  • Financial Services Regulatory & Enforcement
  • Investment Management
  • Litigation & Dispute Resolution
  • Banking & Finance Litigation
  • Internal Investigations
  • Securities Litigation & Enforcement
Contact InfoTelephone: 202 263 3130
Fax: 202 263 3300
University Rutgers University, B.A., with highest honors
Law SchoolCornell Law School, J.D.
Admitted1995, Connecticut; 1995, Maryland; 1997, District of Columbia

Richard M. Rosenfeld is co-lead of Mayer Brown's US Securities Litigation & Enforcement group working from both the Washington, DC and New York offices.

Richard has nearly 17 years of experience practicing in the securities field, including more than a decade in government regulatory and enforcement positions. Most recently, he was asked to return to the government from private practice in the midst of the financial crisis to serve as Chief Investigative Counsel in the Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP).

In his role at SIGTARP, Richard helped build and lead a team of top white collar, securities and bank fraud specialists tasked with conducting criminal and civil investigations into some of the most complex bank, securities and mortgage frauds in US history. He managed more than 80 lawyers, federal agents, accountants and analysts pursuing more than 150 investigations. Additionally, he led SIGTARP's involvement in several of the TARP-related bailout programs, including the investment management agreements for the more than $100 billion Public/Private Investment program.

In private practice, Richard represents financial institutions, funds, companies and individuals in a variety of business, regulatory and compliance issues. He advises on transactions, policies and procedures, investigations, regulatory enforcement and litigation before the SEC, other financial services regulators and the US Department of Justice. These matters typically involve allegations of fraud, whether it be financial reporting violations, insider trading, market manipulation, or other regulatory or compliance issues. Richard has substantial securities litigation experience in the federal courts, in addition to leading internal investigations and advising clients on regulatory compliance, corporate governance and other SEC-related issues.

Earlier in his career, he served in the Division of Enforcement at the SEC. During his time with the Commission, he handled some of the most complex securities frauds in SEC history and was detailed as a special prosecutor to multiple US Attorney's offices across the country to assist in matters involving cross border money laundering, tax evasion and securities, bank, mail and wire fraud. He ended his career with the Commission as the first and only internationally based SEC representative in London where he organized, managed and directed one of the largest multinational financial fraud litigations in SEC history and worked with the highest ranking regulators of several countries to address cooperation in international securities matters.

Richard was a partner at two prominent firms in London and Washington, DC prior to his return to the government to assist with the bailout.


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Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
Matthew Bisanz,Marcus Christian,Mark G. Hanchet,Alex C. Lakatos,Richard M. Rosenfeld, August 27, 2014
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 (“Exchange Act”). The Second Circuit’s August 14, 2014 decision in Liu v. Siemens...
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Office Information

Richard M. Rosenfeld

1999 K Street, N.W.
WashingtonDC 20006-1101


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