Overview


A former SEC Enforcement Attorney, Paul Helms manages risk associated with complex securities issues. He defends clients facing SEC and government inquiries, conducts internal investigations and handles securities litigation. In particular, Paul developed substantial experience in matters involving investment advisers, mutual funds and private funds, in part through his training as a Chartered Alternative Investment Analyst (CAIA).

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Results


Government and Internal Investigations

  • Managed an audit committee investigation involving non-GAAP metrics and revenue recognition issues for Fortune 500 cybersecurity software company
  • Defended an investment adviser and principals in an SEC investigation of performance advertising, obtaining a settlement that avoided individual liability
  • Represented an investment adviser in an SEC investigation of self-reported misappropriation and review of share class selection disclosures

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Credentials


Education
Vanderbilt University Law School, JD, 2003
College of William and Mary, BA, cum laude, 2000

Admissions
Illinois
Virginia
District of Columbia

Courts/Agencies
US District Court for the Northern District of Illinois
US District Court for the Eastern District of Wisconsin

Paul M.G. Helms

Insights & Events / Media

Chicago, IL / Speaking Engagements / June 17, 2019

Financial Advisor / October 2, 2018

Chicago, Illinois / Speaking Engagements / May 11, 2018

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