- The Boston office of global law firm K&L Gates LLP
welcomes Neil T. Smith as a partner in the investigations, enforcement, and white collar
practice. Smith joins K&L Gates from the United States Securities and Exchange Commission (SEC), where he collaborated extensively with U.S. and foreign criminal authorities and regulatory agencies across multiple investigations in his role as Senior Counsel in the Enforcement Division’s Foreign Corrupt Practices Act (FCPA) Unit.
At the SEC, Smith served as the primary attorney on a number of landmark enforcement actions involving violations of the FCPA and Investment Advisers Act, including cases involving extensive bribery by an international hedge fund in Africa and illegal hiring practices by an investment bank in Asia. He developed and led industry-wide government investigations of investment and financial services firms regarding potential misconduct concerning sovereign wealth funds, natural resources investments in developing markets, and international hiring practices. Smith also investigated fund managers and investment banks for misconduct relating to the financial crisis and litigated against companies and individuals for investor misrepresentations and fraud.
A recipient of both the SEC’s Ferdinand Pecora Award (2017) for tenacity, creativity and efficiency under difficult circumstances and the Director of Enforcement Award (2016) for outstanding service, Smith also has litigation and trial experience related to intellectual property, trade secrets, commercial disputes, internal auditor fraud, and other internal and government investigations.
“We are delighted that Neil has joined our firm and we are excited about the highly relevant and unique experiences he brings with him from his time at the SEC, which we know will immediately redound to the benefit of our ever-expanding firmwide investigations and enforcement practice, and to the many clients we advise in Boston and around the globe in this area,” said Mark Haddad, administrative partner of K&L Gates’ Boston office.
Smith is the fifth new partner to join K&L Gates’ leading investigations, enforcement, and white collar practice in the past year, following the earlier additions of former U.S. Attorney Mike McKay
in Seattle; former FINRA counsel Michael Dyson
and former SEC chief Vince Martinez
in Washington, D.C.; and former Assistant U.S. Attorney Christopher Nasson
in Boston. The practice has more than 100 lawyers globally and includes former U.S. and state attorneys general, SEC staff, assistant United States attorneys, state securities regulators, deputy state attorneys general, and staff lawyers from FINRA, the Commodity Futures Trading Commission (CFTC), bank regulatory agencies, the Federal Trade Commission, the Department of Justice in Hong Kong, and numerous other law enforcement agencies.