Law firm K&L Gates has appointed Michael T Dyson as a partner in the government enforcement practice of its Washington DC office.
Dyson joins K&L Gates from the Financial Industry Regulatory Authority (FINRA), the self-regulatory organisation dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.
Dyson has nearly 20 years of public and private sector regulatory and enforcement experience with a concentration on complex civil and white-collar criminal litigation and domestic and international arbitration in industry sectors such as securities, internal investigations, real estate, construction, labour and employment, antitrust, professional liability, product liability, and technology.
While at FINRA, he was responsible for reviewing and analysing regulatory and compliance referrals involving violations of ethical rules, federal securities laws, and other rules and regulations identified during FINRA examinations, audits, industry sweeps, customer complaints, termination notices, investigations, and tips to the FINRA Office of Fraud Detection and Market Intelligence and the Office of the Whistleblower.
He also represented FINRA in disciplinary hearings, expedited proceedings, and settlement negotiations. Additionally, he served as lead counsel in special investigations of potential misconduct in violation of FINRA, National Association of Securities Dealers (NASD), New York Stock Exchange (NYSE), NASDAQ, and Municipal Securities Rulemaking Board (MSRB) rules, the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, and other federal exchange and securities laws, rules, and regulations.
“Michael is a fantastic addition to our government enforcement team,” says David T Case, administrative partner of K&L Gates’ Washington DC, office. “His deep knowledge of FINRA reviews, regulations, and enforcement actions will provide our clients with a valuable resource in an uncertain regulatory environment.”
