Mr. Raissi is a partner of the Firm and Chair of the Firm’s Securities Enforcement Defense Group. Before joining the Firm, Mr. Raissi was a Senior Counsel in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C. While at the SEC, he handled investigations and litigation in both federal court and administrative forums, including cases involving accounting irregularities, auditor misconduct, internal corporate controls, public company disclosures and periodic reports, insider trading, securities offerings, market manipulation, and broker-dealer and investment adviser regulation. Mr. Raissi had broad experience with the full range of government regulation of the capital markets while at the SEC, having worked closely with federal and state criminal prosecutors, the CFTC, foreign regulatory agencies, and self-regulatory organizations such as FINRA.
In private practice, Mr. Raissi has represented companies, boards, officers, directors and other individuals before federal and state securities regulators, criminal prosecutors, self-regulatory organizations, and in private litigation. He has extensive experience with hundreds of government investigations and litigated cases involving public company accounting and reporting issues, insider trading, as well as those involving investment advisers, hedge funds, venture capital and private equity firms, broker-dealers, investment companies, custodians, administrators, and auditors. While Mr. Raissi personally enjoys trying cases, his clients usually prefer not to and he therefore specializes in guiding clients through government investigations with the goal of avoiding litigation and publicity. Nevertheless, sometimes litigation is unavoidable and Mr. Raissi has consistently obtained favorable outcomes for his clients in disputed matters.
Mr. Raissi is also a recognized expert on insider trading issues, and brings a deep knowledge of the capital markets to bear in representing clients involved in insider trading matters and in counseling institutional investors. As institutional investing in private companies has grown over the past decade, Mr. Raissi has increasingly been involved in disputes between private companies and their investors. Mr. Raissi has represented both private companies and investors in disputes resolved informally or through litigation.
Mr. Raissi’s principal areas of practice are SEC enforcement matters, DOJ matters involving the securities laws, securities and corporate litigation, internal investigations, and regulatory compliance.