John M. Lupton IV

Associate

John M. Lupton IV represents clients in connection with investigations and enforcement actions by the US Department of Justice (DOJ), US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state attorneys general and state regulatory agencies. John has handled matters involving, among other things, alleged securities fraud; the Financial Institutions Reform, Recovery, and Enforcement Act (FIRREA); the Foreign Corrupt Practices Act (FCPA); investment adviser misconduct and broker-dealer misconduct.