Morgan Lewis

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02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
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Photo of Kevin T. Rover

practice areas

honors + affiliations

Member, American Bar Association, Litigation Section

Member, Association of the Bar of the City of New York

Member, Securities Industry Association

Former Co-Reporter, Ad Hoc Committee on Joint and Several Liability under the Federal Securities Laws

bar admissions

  • New York
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Kevin T. Rover
Partner

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Email: krover@morganlewis.com
New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6244
Fax: 212.309.6001

Kevin T. Rover is a partner in Morgan Lewis's Litigation Practice. Mr. Rover's practice focuses on the defense of securities litigation and securities class actions involving claims under the Securities Act of 1933 and the Securities Exchange Act of 1934, the defense of investigations and proceedings conducted by the SEC, the NYSE and the NASD and the defense of broker-dealers in securities arbitrations before panels of the NYSE and NASD.

Mr. Rover regularly represents broker-dealers, issuers and their officers and directors. He also represents clients involved in white collar criminal investigations.

Mr. Rover provided pro bono counseling to the Martha Graham Center of Contemporary Dance group for many years.

Mr. Rover is admitted to practice in New York.

education

  • New York University School of Law, 1980, J.D.
  • Dartmouth College, 1977, A.B.