Gregory T. Lawrence

Greg dedicates his practice to representing individuals and corporations, both nationally and internationally, in all phases of complex civil litigation, white-collar prosecutions, and regulatory matters. Greg has achieved notable and landmark victories for clients in these matters. His success in regulatory defense matters includes a rare defeat of the Securities and Exchange Commission on behalf of a client in a high-profile securities fraud prosecution, which was widely reported in the press. His success in private securities litigation includes securing an $80.8 million consequential damages award for a corporate client in a FINRA arbitration, which was the largest such award in FINRA’s history and the largest reported consequential damages award or verdict in the United States.

View Greg’s winning argument in his rare defeat of the SEC in a high-profile case:

From 1999 through 2005, Greg spearheaded high-profile investigations and litigation as Senior Counsel in the Division of Enforcement at the U.S. Securities and Exchange Commission. Most notably, Greg headed the SEC’s landmark investigation of AOL Time Warner, which resulted in a $300 million civil penalty–the second-largest penalty in history for financial reporting violations at the time. The Los Angeles Times published a feature article about Greg in which defense lawyers in the AOL Time Warner matter described him as a “smart, fair and intensely methodical lawyer” who is “well organized.”

In recognition of his achievements on behalf of clients, Greg has been designated a “Litigation Star” by Benchmark Litigation and AV Preeminent® Peer Review Rated by Martindale-Hubbell. He regularly speaks at professional functions and roundtables concerning securities laws and complex litigation issues.

Greg is also an Adjunct Law Professor at the University of Baltimore School of Law, where he teaches Securities Regulation, and he is Secretary of the Business Law Section of the Maryland State Bar Association and Chair of the Business Law Section’s Committee on Securities Laws.

To view the entire oral argument on the SEC’s website, go to: https://www.sec.gov/video/webcast-archive-player.shtml?document_id=011516openmeeting

Representative Client Engagements

Securities Litigation and Enforcement

• Senior U.S. investment banker in parallel SEC and DOJ investigations concerning potential FCPA violations arising out of Asian operations.
• Trader in an SEC administrative action concerning alleged naked short selling in violations of Reg SHO and Exchange Act Rule 10b-21.
• Hedge fund and hedge fund adviser in an SEC investigation concerning potential false performance reporting, insider trading, and market manipulation.
• Financial adviser in an SEC investigation concerning potential insider trading and market manipulation.
• Investment adviser in an investigation by the Securities Division of Maryland Attorney General’s office.
• Private equity fund advisers in an SEC investigation concerning fiduciary issues related to fund fee allocations.
• Financial services professionals and firms in multiple SEC and FINRA investigations relating to potential accounting fraud and insider trading.
• Attorney in parallel SEC, CFTC, and DOJ investigations, civil actions, and criminal prosecutions concerning a suspected Ponzi scheme.
• Multiple register representatives of broker-dealers in several investigations by FINRA concerning suspected improper sales practices.
• CEO in SEC civil enforcement action brought in federal court alleging accounting fraud.
• Financial institution and several executives in an SEC investigation and enforcement action concerning alleged violations of MSRB rules.
• Cell phone company in an arbitration against its broker-dealer alleging fraud in connection with corporate cash management.
• Institutional consultants in federal court TRO proceeding concerning alleged violations of non-solicitation agreements and Protocol for Broker Recruiting and follow-on FINRA arbitration concerning same allegations.
• Financial services firm in FINRA arbitration alleging fraud, failure to supervise, and other sales practice abuses

Government Enforcement

• Investigations by the Maryland Insurance Commission.
• Business in litigation brought by the U.S. Department of Energy concerning energy efficiency regulations.

Business Litigation

• Several executives of a public company in a shareholder derivative lawsuit.
• Independent Board Members of publicly listed bank in shareholder derivative lawsuit.
• Partner in partnership dispute.
• Businesses in disputes concerning business torts, including misappropriation of trade secrets, unfair competition, and patent infringement.

Appellate Practice

• Successfully argued appeal in the U.S. Circuit Court for the Fourth Circuit on behalf of title insurer.

Labor & Employment Litigation

• Businesses and executives in discrimination claims filed in federal court and brought before the U.S. Equal Employment Opportunity Commission and Maryland Commission on Human Rights.