Amy J. Greer focuses her practice on securities enforcement and litigation matters. A former regional trial counsel for the US Securities and Exchange Commission’s (SEC) Philadelphia office, Amy brings insight from that experience when addressing litigation and investigations by the SEC, the US Department of Justice (DOJ), the US Financial Industry Regulatory Authority (FINRA), and self-regulatory organizations, as well as state attorneys general and securities commissions. She is admitted in New York and Pennsylvania only, and her practice is supervised by DC Bar members.
Amy’s clients include broker-dealers, investment advisers, hedge funds, mutual funds, securities issuers and reporting companies, and commodities traders. She advises them on allegations of insider trading, financial reporting and accounting claims, fraud allegations related to securities offerings, and investigations into structured and complex products and trading.
She also counsels on Dodd–Frank Act and Sarbanes–Oxley Act issues and handles inquiries concerning sales practices, whistleblower claims, anti-money laundering issues, and violations of the US Foreign Corrupt Practices Act. Amy coordinates efforts with ongoing criminal investigations, multiple enforcement/regulatory efforts, and civil litigation. She also assists clients by conducting internal investigations and providing counsel on regulatory examinations and compliance issues. Given the nature of her practice, Amy often partners with subject matter experts from Morgan Lewis’s investment management or labor and employment practices. Amy was recently recognized by Legal 500 in the Securities Litigation: Defense category.
Prior to joining Morgan Lewis, Amy served as chief litigation counsel at the SEC’s Philadelphia regional office and managed a team of lawyers overseeing a wide variety of enforcement matters.
Her long history of volunteer service includes both pro bono work and service to the bar.
Represented a mortgage originator/servicer/underwriter/issuer in $10 billion residential mortgage-backed securities litigation, which was successfully settled.
Successfully represented a dissident shareholder group in proxy contest litigation, resulting in the annual meeting and director election going forward as scheduled and the dissidents all being elected to the board of directors.
Defended a regional market making firm, and its principal in an SEC/FINRA enforcement investigation concerning allegations of Regulation SHO violations, resulting in no action by the SEC and a favorable settlement with FINRA.
Represented the former retail broker-dealer entity of a major financial institution in a FINRA investigation into sales practices related to the sale of mutual funds, resulting in a favorable settlement.
Advised a multinational client with its response to a DOJ grand jury investigation, which revealed that the client may have been the victim of a fraud perpetrated by certain employees and outside vendors. The engagement included conducting an internal investigation, assisted by the client's internal audit capability and an outside forensic accounting firm, and providing advice on Sarbanes-Oxley disclosure requirements.
Favorably settled a private securities litigation and SEC enforcement action on behalf of the former CEO of a publicly traded medical services company in connection with allegations of financial fraud.
Conducted an internal investigation for a healthcare company in connection with claims that personnel disclosed material nonpublic information.
Conducted an internal investigation for a trust company concerning the board’s management of a potential securities law violation.
Represented a registered representative in connection with a FINRA investigation of his broker-dealer’s regulatory lapses, resulting in no action taken against the client.
Defended a major financial institution in an SEC investigation into mortgage securitization and marketing practices.
Represented an individual client investigated by the SEC Market Abuse Unit. The client was sent a Wells Notice, advising that the staff was considering an enforcement action for potential violations of Regulation SHO, the antifraud provisions, and the fraudulent short sale rule in connection with a complex options trading strategy. Successfully convinced the SEC staff that the client had no intent to violate any rules or statutes.
Represented a large financial services firm in connection with an SEC investigation into trading in advance of the initiation of research coverage.
College of William & Mary, Marshall-Wythe School of Law, 1989, J.D.
Gettysburg College, 1985, B.A.
U.S. District Courts for the Eastern, Southern, and Western Districts of Pennsylvania
U.S. Courts of Appeals for the Second, Third, and Fourth Districts
Awards and Affiliations
Listed, The Legal 500 US (2016)
Recipient, SEC Chairman's Award for Excellence (2007)
Recipient, Allegheny County Bar Foundation Partnership Award (2005)
Recipient, "Emissary for Justice" award from Pennsylvania Legal Services (2003)
Recipient, Neighborhood Legal Services Association Outstanding Service Recognition (1995)
Recipient, Allegheny County Bar Association Pro Bono Program Outstanding Volunteer (1995)
Recipient, American Bar Association Pro Bono Publico Award (1995)
Member, New York City Bar Association
Member and Former President, Allegheny County Bar Association (Pittsburgh)