Before joining McDermott Will & Schulte, Caitlyn served eight years at the SEC, including as Senior Counsel to the Directors of Enforcement, assisting with the management of the Commission’s largest division. At the SEC, Caitlyn led all aspects of investigations involving accounting fraud, complex insider trading schemes, market abuse, market manipulation, misappropriation of investor funds, investment adviser fraud and the Immigrant Investor Program. She also coordinated complex, cross-border investigations with foreign regulators. In addition to her investigative work, Caitlyn co-chaired the New England region committee that focused on proactively identifying accounting and disclosure fraud and served as liaison to both the SEC’s national Financial Reporting and Audit Group and the Boston FBI.

Caitlyn has conducted numerous internal investigations for major public companies, their boards of directors, and board committees.  She has represented public companies, audit firms, senior executives, registered investment advisers, hedge funds and private equity firms in matters before the SEC, US Department of Justice (DOJ), and the Financial Industry Regulatory Authority (FINRA). Her litigation experience includes representing corporations, directors, and officers in securities class actions and shareholder derivative suits. She has also advised clients in Special Purpose Acquisition Company (SPAC)-related litigation and SEC investigations.

A frequent speaker on enforcement, accounting fraud, and internal investigations, Caitlyn is recognized for her deep understanding of the intersection between regulatory expectations and corporate governance.

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Internal Investigations

• Represented the audit committee of a board of a publicly traded pharmaceutical company, investigating alleged accounting issues in connection with a restatement
• Represented the audit committee of a board of a public company, investigating alleged internal control violations
• Represented the board of a publicly traded REIT, investigating whistleblower complaints relating to perquisite disclosures
• Represented the audit committee of a board of a publicly traded company based in Singapore, investigating alleged accounting issues and internal control violations*
• Represented the audit committee of a board of a Fortune 100 manufacturing company, investigating alleged accounting issues*
• Represented the Special Committee of the Board of Krispy Kreme Doughnuts, Inc. for an internal investigation of alleged improper accounting practices and manipulation of earnings*

Business and Securities Litigation

• Represents former officers and directors of nationally recognized utility and its holding company in derivative and class action litigation arising from large-scale wildfires
• Served as trial counsel for Vivendi, S.A. in a securities class action litigation that culminated in a four‑month jury trial and a litigation involving securities and contract claims brought by Liberty Media that culminated in a four‑week jury trial*

Representative SEC Actions

• Conducted an investigation into a large, international insider trading ring that resulted in charges against three investment bankers, a New York-based trader, a London-based trader, and two traders based in Switzerland*
• Investigated a Massachusetts-based investment adviser that resulted in fraud charges concerning an illegal cherry-picking scheme*
• Led an investigation that resulted in fraud charges and an asset freeze against the operators of a pyramid and Ponzi scheme falsely promising an investment opportunity in gold mines*

*Matter handled prior to joining the firm.

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