Overview


Michael A. Ungar focuses his practice on investigations and enforcement proceedings by the Division of Enforcement of the US Securities and Exchange Commission (SEC), federal criminal authorities, Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), and state securities regulators and accounting boards. Michael also conducts internal investigations and provides guidance on securities compliance matters.

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Results


  • Played a significant role in the representation of a managing director of an investment bank, and convinced the SEC not to pursue any enforcement action
  • Played a significant role in the representation of a chief compliance officer, and convinced the SEC not to pursue any enforcement action

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Recognitions


  • US Securities and Exchange Commission, Division of Enforcement, received four Director’s Awards

Credentials


Education
Yeshiva University – Benjamin N. Cardozo School of Law, JD, magna cum laude, 1992
Yeshiva University, BA, 1989

Admissions
District of Columbia
New York

Michael A. Ungar

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