Dean Conway

Dean Conway is a seasoned regulatory and trial lawyer with more than two decades of experience in complex securities enforcement, litigation, and regulatory compliance. While serving as an assistant chief litigation counsel at the U.S. Securities and Exchange Commission, Dean first-chaired all aspects of high-profile enforcement actions that encompassed the entire scope of the Division of Enforcement’s program, including public company disclosure, accounting and internal controls violations, investment advisers, broker-dealers, insider trading, cybersecurity, and unregistered offerings involving crypto assets.

During his tenure, Dean appeared as lead trial counsel in federal court and administrative proceedings nationwide. His enforcement experience includes numerous parallel criminal investigations with multiple U.S. criminal authorities, including the U.S. Attorney’s Office for the Southern District of New York, cross-border investigations with international regulators such as the United Kingdom’s Financial Conduct Authority (FCA) and the Australian Securities and Investments Commission (ASIC), state securities regulators such as the New Hampshire Bureau of Securities Regulation and the Massachusetts Securities Division, and self-regulatory organizations.

He also advised on investigative strategy, charging decisions, and litigation risk, including providing pre-filing guidance to the SEC’s Asset Management Unit in matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. In addition, Dean advised on enforcement matters and regulatory policy while serving on the executive staff as counsel to an SEC commissioner.

In recognition of his SEC service, Dean was awarded the Chairman’s Award for Excellence, several Director’s Awards (most recently in 2023 for his work on SEC v. Vale and the Hafnium cyberattack), and the Ellen B. Ross Award for exemplary commitment, enthusiasm, and performance in enforcement of the federal securities laws.

With deep regulatory securities experience in a rapidly evolving enforcement landscape, Dean provides clients with strategic, high-quality, and practical counsel. His firsthand knowledge of SEC statutes, rules, and processes — combined with his extensive background in investigations, litigation, and regulatory decision-making — enables him to efficiently guide clients through novel, complex, and sophisticated matters.