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
  • Represented advisory affiliates of a national bank in connection with an SEC investigation into disclosures related to proprietary mutual funds and share class selection
  • Represented an engagement team facing a PCAOB and internal inquiry into auditor independence
  • Defended a broker-dealer in an SEC insider trading matter closed without charges

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Community


  • Chicago Bar Association, Securities Law Committee, Co-Chair

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

Financial Advisor / October 2, 2018

Chicago, Illinois / Speaking Engagements / May 11, 2018

Bloomberg BNA / March 27, 2018

Corporate Counsel / March 14, 2018

On the Subject / March 6, 2018

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