A former Assistant Director in the US Securities and Exchange Commission’s (SEC) Division of Enforcement, Jen represents public and pre-IPO companies, corporate officers, financial institutions, and asset management firms in high-stakes regulatory investigations, internal investigations, and litigation. Jen brings nearly twenty years of experience as a litigator in the government and the private sector to help clients navigate government scrutiny.

During her distinguished 12-year tenure at the SEC, Jen supervised attorneys and accountants in a broad range of complex investigations and enforcement actions reflecting the priorities of the SEC’s enforcement program, including financial reporting and disclosures, cybersecurity issues, ESG-related issues, insider trading, crypto asset securities, investment adviser and broker-dealer regulation, auditor misconduct, and offering frauds. While at the SEC, Jen earned a reputation for successfully navigating the inner workings of the SEC to bring meaningful enforcement actions quickly and effectively. Jen oversaw some of the SEC’s most impactful cases, including the SEC’s first-of-its-kind cybersecurity disclosure enforcement action involving a company’s failure to disclose a massive data breach, several litigated multimillion-dollar insider trading ring actions, and a complex accounting fraud settlement involving significant clawbacks of executive compensation under Section 304 of the Sarbanes-Oxley Act of 2002.

As a highly regarded expert on the SEC’s enforcement program and federal securities laws, Jen is a frequent speaker at industry events, including Securities Enforcement Forum West and the Bar Association of San Francisco. Jen earned her AB from Stanford University and her JD from Columbia Law School. She clerked for the Honorable Richard J. Holwell in the U.S. District Court for the Southern District of New York, and for the Honorable Roger L. Gregory in the U.S. Court of Appeals for the Fourth Circuit. Before joining the SEC, Jen was a securities and commercial litigator, with experience in securities fraud class actions, commercial actions, and products liability litigation.

S10 - Insider Trading 360° – Enforcement Trends and Key Cases, Prosecutions, and Legislation

May 13, 2021 2:00pm ‐ May 13, 2021 2:45pm

Speaker(s):