Walter Jospin’s practice focuses on SEC and other securities regulatory enforcement matters, corporate governance, internal investigations, and SEC Whistleblower Claims relating to violations of the U.S. securities laws and the Foreign Corrupt Practices Act (FCPA). He is the only former Senior Officer and Regional Director of the SEC representing SEC whistleblowers and FCPA whistleblowers.
Mr. Jospin is the former Director of the Atlanta Regional Office of the U.S. Securities and Exchange Commission, where he served from February 2015 until January 2018. As Regional Director, he led over 110 lawyers, accountants, and compliance examiners in the office’s Enforcement and Examination programs, which cover Georgia, Tennessee, Alabama, North Carolina, and South Carolina. During his three-year tenure, Mr. Jospin supervised many enforcement actions relating to financial and accounting fraud, disclosure failures, audit failures, offering frauds, Ponzi schemes, violations of the Investment Advisers Act, municipal securities, and insider trading.
Early in his career Mr. Jospin was a staff attorney with the Division of Enforcement of the SEC in Atlanta, where he investigated and litigated financial fraud, accounting fraud, disclosure, and insider trading cases. Mr. Jospin successfully litigated one of the first cases under the FCPA.
Prior to joining the SEC in February of 2015, Mr. Jospin was a longtime partner in the international law firm of Paul Hastings LLP, where he was a member of the firm’s Policy Committee and Unit Committee, and Chair of the Atlanta Office Corporate Department. At Paul Hastings, he specialized in corporate governance, internal investigations, securities regulatory enforcement, securities compliance, and corporate transactions.
J.D., Emory University School of Law
B.S., The Wharton School, University of Pennsylvania
- Representation of a special litigation committee of the board of a publicly held insurance company in an internal investigation relating to allegations of financial fraud.
- Representation of a special committee of the board of a NYSE listed company in an internal investigation related to allegations of director misconduct.
- Representation of the audit committee of a NYSE listed clothing manufacturing company in an internal investigation in connection with a whistleblower complaint.
- Representation of the independent board members of a publicly held REIT in connection with various governance issues.
- Representation of the independent directors of a publicly held bank holding company based in Coral Gables, Florida with respect to, among other things, strategic alternatives and a transaction with an affiliate.
- Representation of a special committee of a NYSE listed company in connection with evaluating strategic alternatives.
- Representation of a special committee of a NYSE listed insurance company in two separate internal investigations relating to: (a) allegations of insider trading by a board member, and (b) allegations of revenue recognition improprieties.
- Representation of a special committee of the board of a Hong Kong listed software company in an internal investigation related to alleged CEO misconduct.
- Representation of the independent directors of a NASDAQ listed manufacturing company in an internal investigation and related SEC investigation involving alleged stock option backdating.
- Defense of a former securities analyst in an insider trading investigation by the U.S. Attorney for the Northern District of Georgia and the SEC.
- Defense of a partner of an investment adviser in an investigation and administrative proceeding brought by the SEC.
- Defense of a NASDAQ listed software company in an SEC investigation relating to revenue recognition issues.
- Defense of the CEO of a NYSE listed technology company in an insider trading investigation by the SEC.
- Defense of a NASDAQ listed grocery store chain in an SEC investigation relating to financial reporting issues.
- Defense of the CEO of a NASDAQ listed hotel company in an insider trading investigation by the SEC.
- Defense of the CFO of a NYSE listed jewelry store chain in a financial fraud investigation by the SEC and the U.S. Attorney for the Eastern District of New York.
- Defense of a NYSE listed technology company in connection with an SEC and U.S. Attorney investigation relating to disclosure matters.
- Defense of a national broker dealer in a Georgia Securities Commission investigation relating to sales practices.
- Defense of a managing director of a bulge-bracket investment bank in an SEC investigation relating to the pricing of interest-only mortgage backed securities.
- Defense of a broker dealer in a FINRA investigation relating to sales practices.
- Defense of an investment adviser in an SEC investigation relating to suitability issues.
- Defense of a large regional bank holding company in a FINRA investigation involving compliance matters.
- Defense of numerous registered representatives in investigations by the NASD and FINRA.
- Represented public and privately held companies in over 50 M&A transactions.
- Represented issuers and underwriters in over ten public offerings of securities.
- Served as outside securities disclosure counsel for numerous public companies.
- Author of “Representing a Witness in an SEC Investigation,” 22 Georgia Bar Journal 122
- Co-author of a treatise on Georgia corporate law entitled “Georgia Corporations, Other Business Organizations & Securities Regulation,” published by Lawyers Cooperative Publishing
- Co-author of “Forming Board Special Committees,” 161 The Corporate Board Journal 1
- Presented papers on various M&A, governance, corporate, securities, enforcement, and legal ethics matters at programs sponsored by the Practicing Law Institute, International Bar Association, and State Bar of Georgia in the following cities: Atlanta, New York, Washington, San Francisco, Vancouver, New Orleans, Houston, Amelia Island, Kiev, Prague, Vienna, Paris, Amsterdam, Madrid, Barcelona, Durbin, New Delhi, Melbourne, and Sao Paulo
- Co-chair of a Georgia ICLE program entitled “Securities Litigation and Regulatory Practice” (1994-2014, 2018)
- Speaker, “Representing SEC Whistleblowers,” Georgia ICLE Whistleblower Law Symposium (2018-2020)
- Speaker, Brazilian Business Law Institute’s Anti-Corruption and Compliance Seminar (2019)
Mr. Jospin has been recognized as a leading corporate and securities lawyer by Chambers USA, The Best Lawyers in America, Who’s Who Legal Georgia, Who’s Who of International Mergers & Acquisition Lawyers, Georgia Super Lawyers, and Corporate Counsel Super Lawyers. He served as Chair of the Business Law Section, and Chair of the Securities Committee, of the State Bar of Georgia. Mr. Jospin has been an adjunct professor at Emory Law School, where he taught Securities Enforcement.
Mr. Jospin has devoted a great deal of time over the years to non-profit organizations. He has served as the board chair of the following non-profits: Atlanta Legal Aid Society, Georgia Innocence Project, Georgia Legal Services Foundation, Anti-Defamation League (SE Region), and Zaban-Paradies Couples Center. He has been a board member of the High Museum of Art, Atlanta Volunteer Lawyers Foundation, American Jewish Committee (Atlanta Chapter), and Jewish Educational Loan Fund (JELF). He has also held various senior leadership roles with the Jewish Federation of Greater Atlanta. Mr. Jospin is an alumnus of Leadership Atlanta.
Mr. Jospin is a native of Savannah, Georgia. At Penn, he was a member of the Freshman Heavyweight Crew.