Michael A. Ungar is a partner in the law firm of McDermott Will & Emery LLP and is based in the Firm’s Washington, D.C., office. His practice focuses on investigations and enforcement proceedings by the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC), federal criminal authorities, Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB) and state securities regulators. Michael also conducts internal investigations and provides guidance on securities compliance matters.
Michael has experience with enforcement matters involving financial fraud, disclosure issues, broker-dealer violations, misconduct by securities professionals, the Foreign Corrupt Practices Act, insider trading, market manipulation, short selling, ownership reporting, unregistered distributions, and conduct by accountants and independent auditors.
Michael joined the firm after 11 years in the Division of Enforcement of the SEC, including eight years as a branch chief. During his tenure at the SEC, Michael was responsible for a wide variety of enforcement matters, including the first auditor independence action brought against a foreign audit firm, the first enforcement action under Sarbanes-Oxley’s loan prohibition and the first enforcement action brought under Regulation G (relating to non-GAAP financial results). Michael also conducted the investigation and litigated the ensuing enforcement action that resulted in a six-month suspension against an accounting firm accepting new audit clients. In recognition of his accomplishments in the Division of Enforcement, Michael received four Director’s Awards.
Prior to joining the SEC, Michael was in private practice and represented clients in investigations by the SEC, federal prosecutors and New York Stock Exchange (NYSE); securities arbitrations; and commercial litigation.
Michael received his J.D., magna cum laude, from the Benjamin N. Cardozo School of Law in New York. Michael is admitted to practice in the state of New York and the District of Columbia.
Education
- Benjamin N. Cardozo School of Law, J.D. (magna cum laude), 1992
- Yeshiva University, B.A., 1989
