Greg DiMeglio
PartnerCo-Chair, Securities & Regulatory Enforcement
Greg DiMeglio has been a securities and regulatory enforcement lawyer for nearly 30 years. At Stradley Ronon, Greg has spent more than two decades representing investment advisers, broker-dealers, public companies, boards of directors, board committees, auditors, other entities and individuals in all manner of examinations, investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice, other federal and state regulators, and industry self-regulatory organizations. Greg has also led numerous complex internal investigations designed to assist clients in preventing or limiting the scope of potential enforcement action. He has been named repeatedly to the Best Lawyers in America. Greg previously spent eight years in the SEC’s Division of Enforcement.
At Stradley Ronon, Greg has represented both traditional and “robo” investment advisers, fund administrators, fund auditors, senior officers, board members, portfolio managers, chief compliance officers and other individuals in connection with SEC sweeps and other investigations involving alleged fraud, breach of fiduciary duty, performance advertising, “pre-arranged” and other cross-trading, “odd lot” and other valuation issues, liquidity, investment limitations, algorithmic trading, tax loss harvesting, the custody rule, advisory, 12b-1 and other fees, principal trading, trade allocation, whistleblowers, collateralized debt obligations, private equity funds, revenue-sharing arrangements, numerous conflicts of interest and other disclosure issues, auditing standards, compliance policies and procedures, and books and records, among other things.
Greg has also 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. He has represented celebrities and other individuals in SEC initial coin offering (ICO), financial fraud, Foreign Corrupt Practices Act, insider trading, and transfer agent-related investigations.
Greg has 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, for example, financial fraud, accounting issues, loan-loss assessment, cross-trading, trade allocation, valuation procedures, selling away and outside business activities.
On behalf of investment advisers, funds and fund trustees, Greg has assisted in responding to deficiency letters, avoiding enforcement referrals and handling other matters related to SEC sweep, targeted and routine examinations.
Prior to joining the firm, Greg was a senior counsel in the SEC’s Division of Enforcement. At the SEC, Greg was responsible for a number of significant enforcement investigations and actions involving public companies and broker-dealers and received a Division of Enforcement Director’s Award.
