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.
In addition to his work on regulatory enforcement matters, John has experience conducting internal investigations. He also has experience counseling clients on a wide range of FCPA and anticorruption compliance issues and has helped design and implement global compliance programs.
Georgetown University Law Center, 2013, J.D., cum laude