Paul Helms defends clients in government investigations, principally investigations by the US Securities and Exchange Commission (SEC), and conducts internal investigations involving securities, accounting and other financial concerns. Through his work at the SEC and in private practice, Paul handled more than 40 investigations across multiple subject areas, including financial and accounting fraud, offering fraud, market manipulation, insider trading, Foreign Corrupt Practices Act (FCPA) violations and regulatory compliance. Paul has substantial experience in matters involving investment advisers, mutual funds and private funds.
Prior to joining McDermott, Paul spent seven years as an attorney in the SEC Enforcement Division. His roles included Counsel to the Director of Enforcement in Washington, DC, advising and assisting the Director on national policy and management issues. In the Chicago Regional Office, Paul assisted the Regional Director with the management of examination referrals, collaboration with criminal authorities and the training of incoming staff attorneys. Paul also worked with three specialty units, serving as a member of the Asset Management Unit and the Market Abuse Unit and supporting the Public Finance Abuse Unit. Paul brought enforcement actions and supported related litigation against a variety of businesses, including a global accounting firm, an alternative energy company, a stock-based lender and the State of Illinois, among others. Paul has firsthand experience with the SEC’s whistleblower and cooperation programs as a former enforcement attorney.
Paul is experienced in counseling corporate clients, board members and executives and has handled a large variety of securities enforcement matters, internal investigations and securities litigation matters in private practice. He has navigated legal issues related to concerns of financial and accounting fraud, insider trading, FCPA violations and regulatory compliance.
Paul served as a law clerk to the Honorable James H. Michael, Jr. in the Western District of Virginia.
Paul is a Chartered Alternative Investment Analyst (CAIA) and a Certified Fraud Examiner (CFE).
Selected Cases at the SEC
Selected Cases in Private Practice
* Matters handled prior to joining McDermott.