Overview
Caitlyn M. Campbell, a former US Securities & Exchange Commission (SEC) Enforcement Attorney, focuses her practice on representing clients in SEC investigations, securities class action and derivative litigation, and compliance matters. Caitlyn has extensive experience in matters involving potential violations of the federal securities laws, including allegations of accounting and disclosure violations, fraud and regulatory violations by investment advisers and broker-dealers, insider trading, anti-corruption and FCPA violations, and whistleblower claims. She also assists companies in developing training programs and compliance policies and procedures.
Prior to joining McDermott, Caitlyn spent eight years at the SEC, most recently as Senior Counsel to the Directors of Enforcement, assisting with the management of the Commission’s largest division, and as a member of the division’s COVID-19 Steering Committee. 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 worked extensively with foreign regulators, coordinating complex, global investigations. In addition to her investigative work, Caitlyn co-chaired the committee tasked with proactively detecting accounting and disclosure fraud in the New England region and served as the liaison to the national Financial Reporting and Audit Group and the Boston FBI.
Caitlyn has conducted numerous internal investigations, including investigations for major public companies, their boards of directors and board committees. Further, she has represented Boards, senior management teams, hedge funds and private equity firms in connection with matters before enforcement and regulatory agencies including the SEC, US Department of Justice (DOJ), and the Financial Industry Regulatory Authority (FINRA). She has also represented numerous corporations, as well as directors and officers, in securities class action and shareholder derivative litigation.
Caitlyn regularly speaks on topics relating to criminal and regulatory enforcement, as well as accounting fraud.
Results
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*
Internal Investigations
- 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
- 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*
* Matters handled prior to joining McDermott.
Recognitions
- 2020 Ellen B. Ross Award Recipient
Credentials
Education
Boston University, JD, cum laude, 2004
Cornell University, BA, 2000
Courts/Agencies
Southern District of New York
District of Massachusetts
Admissions
New York
Massachusetts
