Overview


Fredric (Rick) Firestone represents corporations, financial institutions and individuals in investigations and enforcement proceedings by the US Securities and Exchange Commission (SEC) Division of Enforcement, the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB) and state securities regulators. He also conducts internal investigations on behalf of management and boards of directors and counsels on corporate governance and compliance matters. In addition, Rick advises US-based companies doing business in international markets on anticorruption and compliance issues. He is the head of the Firm’s SEC Defense Group and co-chairs the Firm’s Foreign Corrupt Practices Act (FCPA) and International Anticorruption Group.

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Results


  • Represented the former chief investment officer of State Street Global Advisers in an enforcement action brought by the SEC winning a substantial victory after a three-week trial
  • Represents audit committees of major US public companies in connection with internal and SEC investigations

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Recognition


  • The Legal 500 2015 to 2017
  • Chambers USA 2015 to 2018, Leading Lawyer
  • Benchmark Litigation 2013 to 2019, Litigation Star

Credentials


Education
Washington University in St. Louis, JD, 1986
Washington University in St. Louis, BA, cum laude, 1982

Admissions
District of Columbia
Maryland

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