Gregory D. DiMeglio

Chair, Securities Enforcement

gdimeglio@stradley.com

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Gregory DiMeglio

Overview

Greg DiMeglio represents public companies, investment companies, investment advisers, broker-dealers, boards of directors, board committees, auditors, other entities and individuals in connection with examinations, investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), Department of Justice, other federal and state regulators, and industry self-regulatory organizations. He also conducts internal investigations designed to assist clients in preventing or limiting the scope of potential enforcement action.

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Representative Matters

  • conducted numerous whistleblower-generated and other internal investigations on behalf of public company audit committees, banks, investment advisers, mutual fund independent trustees, broker-dealers and insurance companies regarding financial fraud, accounting issues, loan-loss assessment, cross-trading, trade allocation, valuation procedures, selling away and outside business activities
  • represented investment advisers, fund administrators and individuals in connection with SEC investigations involving performance advertising, collateralized debt obligations, private-equity funds, revenue-sharing arrangements, various conflicts of interest and compliance policies and procedures
  • represented broker-dealers, supervisory and compliance personnel and other individuals in SEC and FINRA investigations concerning insider trading and other compliance policies and procedures, sales practices, supervision, equity-indexed and variable annuities, Regulation S-P and Regulation SHO
  • represented individuals in SEC financial fraud, Foreign Corrupt Practices Act, insider trading and transfer agent-related investigations
  • assisted investment advisers and funds in responding to deficiency letters and handling other matters related to SEC sweep, targeted and routine examinations
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Credentials

Bar Admissions
  • District of Columbia
  • Virginia
Court Admissions
  • U.S. Court of Appeals for the Fourth Circuit
  • U.S. District Court for the Eastern District of Virginia
Education
  • J.D., University of Virginia School of Law
  • B.A., Cornell University
Memberships

  • American Bar Association, Business Law Section
  • District of Columbia Bar, Corporation, Finance and Securities Law Section
  • Virginia State Bar

Speaking Engagements

  • Panelist, “Foreign Corrupt Practices Act and Other International Anti-Corruption Statutes,” Pennsylvania Bar Institute
  • Co-presenter, “SEC Hot Topics – Examinations, Enforcement and How to Respond,” Financial Executives Alliance Seminar
  • Panelist, “SEC Hot Topics: Enforcement, Examinations, New Regulations and How to Respond,” Alternative Asset Summit
  • Presenter, “Foreign Corrupt Practices Act and Other International Anti-Corruption Statutes (Ethics),” Pennsylvania Bar Institute
  • Presenter, “Alternative Assets – Treading with Care Around Hot Button Issues,” Financial Executives Alliance Seminar
  • Presenter, “SEC Enforcement, OCIE and FINRA Hot Topics,” Alternative Asset Summit 
  • Presenter, “SEC Enforcement Update: Enter the New Winemaker,” Investment Company Institute’s Mutual Funds and Investment Management Conference 
  • Presenter, “The SEC’s Renewed Focus on Financial Fraud, Reporting and Audit Investigations,” Pennsylvania Institute of Certified Public Accountants’ Financial Institutions Conference 
  • Presenter, “Fundamentals of the Foreign Corrupt Practices Act,” Stradley Ronon CLE Seminar 
  • Moderator, “Office of Compliance Inspections and Examinations in the Post-Madoff Environment: Examiners with Attitude,” ABA’s Annual National Institute on Securities Fraud 
  • Presenter, “SEC Exams: What’s New and How Firms Can Prepare,” IA Watch’s Annual Investment Adviser Compliance Conference 
  • Presenter, “Inside Insider Trading: A Look at Galleon and Other Recent Cases,” ABA’s Annual National Institute on Securities Fraud
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Recognition

  • U.S. Securities and Exchange Commission, Division of Enforcement, Director’s Award
  • The Best Lawyers in America
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