Sarah Mallett

Sarah focuses her practice on advising and representing public companies, private equity firms, asset managers, financial institutions, and other entities and individuals facing government, regulatory, or internal investigations, examinations and enforcement proceedings. Sarah brings clients a current and insider’s view on how to best navigate SEC investigations, examinations and rulemaking.

During her more than seven years at the SEC, Sarah supervised or served as the primary attorney on countless investigations, including multiple complex and high-profile enforcement actions, national priority investigations, sweep investigations and parallel investigations with the Department of Justice, FINRA, and other federal or state regulatory and law enforcement authorities. She also served on multiple of the Division’s national working groups and contributed to the drafting of the SEC’s SPAC rulemaking. The SEC has recognized Sarah with numerous awards for her work.

Sarah’s understanding of the SEC’s processes and priorities and her broad experience with federal securities laws make her uniquely positioned to offer key insights to prevent or minimize clients’ regulatory exposure and to work productively with SEC staff to protect her clients’ interests.

Southern Methodist University Dedman School of Law, J.D., cum laude

University of Texas at Austin, McCombs School of Business, B.B.A., Finance