Samuel J Winer

Experience

Samuel (Sandy) J. Winer represents public companies, their board committees, executives, and auditors, investment banks, investment advisers, broker dealers, attorneys, and others in SEC investigations and related proceedings. Sandy is a skilled investigator with extensive experience leading teams in domestic and cross-border internal investigations. He is a partner in the firm’s Securities Enforcement and Litigation Practice and a former member of the firm’s Management Committee.

Sandy has deep experience advising public companies on sound governance, effective compliance procedures, and appropriate internal controls. He has served as an SEC independent consultant and an SEC/DOJ independent monitor responsible for overseeing and evaluating the compliance function of companies sanctioned by the SEC, including as the Foreign Corrupt Practices Act (FCPA) monitor for one of the largest publicly held hedge funds in the country.

Sandy also counsels securities broker-dealers and investment advisers on compliance. He has represented securities broker-dealers in SEC and SRO investigations of sales practices, municipal securities business, equity, fixed income and financial futures trading, and back-office compliance and related supervision and investment advisers in investigations and examinations into marketing materials, conflicts of interest, and other regulated disclosures.

Sandy served one year as a law clerk to Chief Justice Thomas H. Roberts of the Supreme Court of Rhode Island. He also was an editor at Boston University Law School and now writes and edits publications such as a treatise on SEC Enforcement from Lexis/Nexis and the Practising Law Institute's Audit Committee Deskbook. He teaches a course on SEC Enforcement at George Washington University Law School as well.