McNair Nichols is a partner in the firm. His practice focuses on government
enforcement, white-collar defense, internal investigations, and regulatory
compliance with respect to the federal securities laws.
McNair represents companies and individuals across a variety of industries who are
subject to government investigations, enforcement, and other regulatory actions. He
has served as counsel for broker-dealers, investment advisers, registered investment
companies, cryptocurrency exchanges and issuers, banks, publicly-traded companies,
hospitals, and other entities and individuals in connection with investigations and
enforcement inquiries from the Securities and Exchange Commission (SEC), the
Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ),
US Attorneys' Offices, and a wide range of state regulatory authorities.
McNair has handled responses to dozens of subpoenas, civil investigative demands,
requests for information, and other requests for documents and information from
federal and statute authorities. McNair also has substantial experience resolving
matters within FINRA’s Dispute Resolution Services (Arbitration
and Mediation) on behalf of financial services clients.
His government enforcement experience includes matters related to:
- Allegations of federal and state securities law violations, including issues of
public disclosure, insider trading, accounting practices and financial
reporting, securities registration, investment adviser and broker-dealer
registration, finders fees, market manipulation, breach of fiduciary duties,
supervision, and “selling away.”
- Regulatory enforcement investigations involving cryptocurrencies and blockchain
technology.
McNair also routinely advises entities and individuals in the financial services
industry regarding regulatory matters affecting their operations, particularly
relating to SEC and FINRA regulation and enforcement. Among other things, McNair
counsels clients, including broker-dealers and investment advisers, regarding
formation, registration, and operations that implicate the federal securities laws.
In addition, McNair is seasoned in conducting internal investigations for companies,
and their boards of directors, audit committees, and special committees, regarding a
wide range of civil and criminal issues, assessing potential legal exposure,
and advising regarding related disclosure considerations and resolution. Clients
that have relied on McNair’s experience with respect to internal
investigations include public companies, universities, federal government
contractors, healthcare providers, and other entities.
McNair also represents clients in a wide range of industries, including healthcare,
defense, and technology, in connection with civil and criminal government
investigations, internal investigations, and civil litigation related to the False
Claims Act (FCA) and Anti-Kickback Statute (AKS).
McNair engages in pro bono matters at K&L Gates, including the representation of
a client in federal habeas proceedings and participating in efforts to identify and
remedy wrongful convictions.
