Ning He represents public companies, financial services firms, and other organizations in litigation, investigations, and regulatory actions by federal agencies. Ning conducts internal investigations, and defends executives and directors in matters including whistleblower-related issues, conflict of interest and disclosure issues, and accounting and financial reporting issues. She also has experience in many phases of commercial litigation, including fact investigation, discovery, mediation, and trial.
Successfully represented an asset management company in an US Securities and Exchange Commission (SEC) investigation involving issues including alleged self-dealing, executive compensation, and claims of misrepresentation and omission raised by a whistleblower; Received a close of investigation letter with no further action against the company.
Successfully represented a former executive of a publicly held retail company in an SEC investigation involving the alleged failure to disclose related party transactions and other improper accounting practice and received a close of investigation letter with no further action.
Represented a clearing firm and firm executives in an SEC investigation regarding the firm’s securities lending practices and obtained favorable settlement terms with no charges against individuals and in low monetary amount.
Represented multiple investment advisory firms in related SEC investigations regarding certain practices related to the proper disclosure on conflict of interest and fees; obtained favorable settlement terms with no charges against individuals and in low monetary amount.
Represented a fintech company in SEC and FINRA inquiries related to the use of social media and other marketing practices.
Represented an executive of a publicly traded pharmaceutical company in an SEC investigation regarding the firm’s accounting practices.
Represented the Demand Review Committee of a food and beverage company in response to a shareholder demand request regarding executive compensation.
Conducted an internal investigation for a publicly traded ecommerce marketplace company in an internal investigation regarding its data gathering and KPI metrics.
Conducted an internal investigation for a publicly traded food and beverages company in an internal investigation regarding financial reporting and accounting practices.
Successfully represented a journalist in his asylum proceedings and obtained asylee status.
Washington University in St. Louis School of Law, 2015, J.D., Order of Barristers
Franklin & Marshall College, 2012, B.A., Government and Sociology, Magna Cum Laude, Phi Beta Kappa
US District Court for the Northern District of Illinois