Insights & News

Experienced Securities Regulatory Attorney Joins Stradley Ronon’s Investment Management Group

January 25, 2023
Firm News

PHILADELPHIA – Stradley Ronon is pleased to announce that experienced securities regulatory attorney Frederic M. Krieger has joined the firm’s nationally-ranked investment management group in New York. Krieger brings extensive experience with securities compliance and market issues, complementing the firm’s deep bench of existing lawyers who are former alumni staff of the U.S. Securities & Exchange Commission.

As senior counsel in New York, Krieger brings a practice in which he has successfully helped various clients navigate complex financial services regulation, corporate compliance and firm governance matters. Krieger has extensive knowledge of securities market regulation, both internationally and domestically, including product and broker-dealer regulation, Securities and Exchange Commission and FINRA examinations, investigations and inquiries, internal investigations and compliance advice and training.

“Fred is a well-known practitioner in the industry whose wide-ranging experience will add immense value to our investment management group and help us better serve our clients. We are very pleased to have Fred join our growing ranks of former SEC staff, ” said Matthew DiClemente, partner and co-chair of the investment management group at Stradley Ronon.

In addition to his high-profile financial services clients, Krieger also represents international industrial companies in the development of global codes of conduct, focusing on employment practices, anti-corruption, government sanctions, ALM and KYC and other key policies related to ethical business culture and compliance.

“Stradley Ronon’s investment management group is one of the best in the nation, and I am thrilled to join a powerhouse firm with deep roots in the asset management industry that has been advising clients, including broker-dealers, in a range of cutting-edge issues related to securities regulation, compliance and enforcement,” said Krieger.

A leader in the industry, Krieger has held several senior positions at broker-dealers, exchanges, global banks and in government. As a former trial lawyer in the Trial unit of the SEC’s Enforcement Division, Krieger litigated securities enforcement cases in various federal courts across the country. He also has worked at several law firms, practicing as a broker-dealer and financial services lawyer and litigator. Krieger was associate general counsel of the Chicago Board Options Exchange, responsible for market structure and regulatory rules, and vice president of the New York Stock Exchange – Regulation, where he led its Regulatory Risk Group.

Krieger has also held various leadership roles in the banking and broker-dealer industry, including managing director, president and chief operating officer of Citigroup Geneva Capital Strategies and managing director, head of CIB Compliance for Fixed Income, Emerging Markets and Derivatives at Citigroup. In addition, Krieger has served as global head of compliance at Charles Schwab and general counsel of leading asset-backed dealer KGS Alpha Capital Markets, which became a part of the Bank of Montreal in 2018.

Stradley Ronon maintains one of the largest investment management practices in the U.S., representing a wide variety of investment company and investment adviser clients, including many of the top 20 investment company complexes in the country by assets under management. Chambers USA: America’s Leading Lawyers for Business awarded the firm the highest “Band 1” ranking in the 2022 edition for nationwide registered funds.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

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