Karen Cook has more than 20 years of experience in securities enforcement, regulation, and litigation, white-collar defense and internal investigations.

Her extensive government, securities industry and private practice experience gives her a unique multidisciplinary perspective in representing corporate and individual clients in government investigations, white-collar civil and criminal defense, and civil and administrative litigation.

Securities and Exchange Commission Assistant Director of Enforcement
Ms. Cook served ten years as an SEC enforcement attorney, last serving as Assistant Director of Enforcement. Her SEC experience combined investigation of suspected violations and enforcement litigation in both federal court cases and administrative proceedings. She successfully pursued cases involving offering fraud, insider trading, investment advisor violations, investment pool violations, broker-dealer violations, sales practices, accounting irregularities, reporting violations, oil-and-gas fraud, and Ponzi schemes. She frequently assisted United States Attorneys Offices in obtaining convictions of violators. Her record of success in prosecuting securities cases was unsurpassed.

Senior Vice President and General Counsel of National Investment Bank
Ms. Cook advised the Boards of Directors and senior management of all affiliates on legal and regulatory matters, including broker-dealer, investment adviser, investment pool, investment banking, and municipal securities matters and transactions. She developed invaluable expertise on industry operations and complex financial products. Under her leadership, the firm successfully avoided initiation of any regulatory disciplinary action against either the firm or any of its employees.

Private Practitioner and Manager
In her years of private practice, Ms. Cook has represented international and domestic companies, senior officers, witnesses, investors and whistleblowers in an array of government investigations, criminal cases, internal investigations and civil and regulatory litigation. Her practice is focused primarily on the highly-regulated financial services and healthcare industries. Her white-collar defense experience includes investigations by the Departments of Justice and Health and Human Services Office of Inspector General, Federal Bureau of Investigation, the Postal Inspection Service, and state attorneys general and regulatory agencies. Ms. Cook’s securities-industry defense experience includes SEC, FINRA, state securities agencies and self-regulatory authorities. In recognition of her expertise and standing in the bar, she has been appointed by federal judges to serve as a receiver in SEC enforcement actions. Ms. Cook is frequently engaged by other law firms for her SEC, securities industry, and corporate law expertise.