Kevin Harnisch, Esq.
Norton Rose Fulbright US LLP https://www.nortonrosefulbright.com/en-us/people/1015618
About The Lecturer
Kevin J. Harnisch joined Norton Rose Fulbright in November 2015. He serves as Head of White-Collar and Co-Head of Regulation, Investigations, Securities, and Compliance (RISC), United States.
Kevin is a litigator who defends clients before the United States Securities and Exchange Commission (SEC), FINRA and other self-regulatory organizations, the Department of Justice, the US Commodity Futures Trading Commission (CFTC), US attorney's offices, and the federal courts. He handles matters relating to securities enforcement defense, internal investigations, and anti-corruption issues, and he represents corporations and their directors and officers, broker-dealers, hedge funds, private equity funds, and investment banks.
Kevin served as a Branch Chief in the Division of Enforcement of the SEC, where he led cases regarding financial fraud, market manipulation, insider trading, the Foreign Corrupt Practices Act (FCPA), and municipal bond offerings. He has authored numerous articles and he frequently lectures on federal securities law and anti-corruption issues.
Kevin has significant experience defending public companies in a wide array of SEC, DOJ, and other government agency investigations. Those investigations often pertain to such issues as the accuracy of financial statements, undisclosed related party transactions, the adequacy of internal controls, the FCPA and other anti-corruption laws, responses to whistleblowers, and potential insider trading.
He is also active in representing broker-dealers in various matters, including in anti-money laundering and suspicious activity reporting issues, market manipulation, order handling and best execution, managing conflicts of interest, the reasonableness of supervision, and the effectiveness of internal controls.
Kevin has significant experience leading cross-border investigations for clients across a variety of industries. In addition to representing clients in government investigations and conducting internal investigations, Kevin regularly counsels on compliance issues, including ESG disclosures and corporate governance issues.
Practice Area(s)
Corporate & Securities
Banking & Financial Services
Education
JD, magna cum laude, Seattle University School of Law, 1995
BBA, magna cum laude, University of Notre Dame, 1992
