A former Associate Director for the U.S. Securities and Exchange Commission’s Enforcement Division (SEC), Gerald “Jerry” Hodgkins has a broad regulatory enforcement practice focused on representing financial institutions, public companies, audit firms and individuals in investigations and enforcement actions brought by the key financial regulators. Mr. Hodgkins has extensive experience in matters pertaining to the SEC and in matters involving broker-dealer and investment adviser regulation, public company accounting and U.S. anti-corruption law. He also focuses on issues involving the Public Company Accounting Oversight Board (PCAOB) and the Financial Industry Regulatory Authority (FINRA).
During his 20-year tenure at the SEC, Mr. Hodgkins oversaw more than 100 enforcement matters, including high-profile cases involving, among other areas of the SEC’s jurisdiction, public company accounting and disclosure, the Foreign Corrupt Practices Act (FCPA), broker-dealer and investment adviser compliance, and insider trading. The enforcement actions he oversaw included the largest penalty in SEC history for issuer reporting and disclosure fraud and the first, and still largest, settlement involving Section 304 of the Sarbanes-Oxley Act of 2002.