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Lauren H. Mann Associate

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New York T +1 212 548 7042 F fax +1 212 715 6264
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Lauren is a litigator in McGuireWoods’ Financial Services & Securities Enforcement Department. She represents cross-border, international companies and individual clients in government and internal investigations. She also represents financial services clients in complex securities matters, focusing on regulatory investigations and enforcement actions, and internal investigations.

Lauren also maintains an active pro bono practice, including experience defending asylum seekers in removal proceedings and juveniles in connection with petitions to receive Special Immigrant Juvenile Status (SIJ).

Prior to joining McGuireWoods, Lauren practiced as a litigator at a New York-based law firm, where she represented global corporations, financial institutions, and select individuals in matters relating to anti-corruption compliance, internal investigations, white collar defense, criminal inquiries, and securities and regulatory enforcement.

Experience

  • Conducted Foreign Corrupt Practices Act compliance review of multinational automobile manufacturer related to one of its foreign subsidiaries.
  • Counsel corporate clients on compliance with the Foreign Corrupt Practices Act.
  • Conducted assessment of investigations arm of a multinational automobile manufacturer with respect to compliance with the DOJ’s Evaluation of Corporate Compliance Programs (ECCP).
  • Represented a foreign client in connection with allegations of bribery and collusion by a development bank.
  • Represented individual affiliated with U.S.-listed foreign issuer in connection with SEC allegations of false and misleading statements
  • Represented broker-dealers with respect to internal investigations and regulatory disclosure of errors in the firm’s securities trading reports.
  • Counseled broker dealers on compliance with respect to compliance with FINRA’s the Consolidated Audit Trail (CAT) and “CAIS” reporting, and with respect to CAT-related regulatory inquiries and disclosure obligations.
  • Counseled broker dealer with respect to issues related compliance with FINRA and SRO rules governing supervision, TFCE examinations, option order ticket marking, and compliance with books and records rules.
  • Counseled broker-dealer in connection with responding to FINRA’s sweep into retail options practices.
  • Counseled broker dealers with respect to enforcement proceedings and examination involving securities transaction reports, including Electronic Bluesheets (EBS).
  • Counseled broker-dealer with respect to an array of issues related to compliance with FINRA and SRO rules regarding TFCE exam process, option order ticket marking, prospectus delivery, Regulation M reporting, and compliance with books & records rules.
  • Represented financial institution in confidential investigations and inquiries.
  • Represented broker-dealer and financial advisors in FINRA investigation into mutual fund surveillance, sales practices, and procedures.
  • Represented broker-dealer in a FINRA Enforcement action related to supervision and controls regarding journals of new issue products from brokerage to advisory accounts.
  • Successfully represented broker-dealer in an SEC Enforcement investigation into misrepresentations made by an investment advisor.