Vince Martinez is a partner in the Washington, DC office. His practice focuses on counseling and defending financial services firms, companies, and individuals facing government examinations, investigations, and charges. Mr. Martinez has a distinguished history of leadership at the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), where he established and developed regulatory programs that coordinated the enforcement efforts of multiple agencies, including the SEC, the CFTC, the Department of Justice (DOJ), and the Financial Industry Regulatory Authority (FINRA). He was also a decorated SEC enforcement attorney and officer who investigated, litigated, and directed the enforcement of numerous anti-fraud actions. Earlier in his career, Mr. Martinez worked as a private transactional attorney and litigator.
Mr. Martinez’s experience includes matters involving:
- Issuer financial and accounting frauds
- Issuer disclosure violations
- Off-exchange investment frauds
- Over-the-counter market manipulation
- Insider trading
- Class action defense
- Cybersecurity requirements for financial services companies
- SEC and CFTC whistleblower issues
- False Claims Act litigation
- Debt and equity offerings
- Anti-money laundering procedures
Mr. Martinez’s experience and skills in government enforcement and litigation are ideally suited for clients facing inquiries or charges from regulatory and law enforcement authorities. Given his broad knowledge of the law and his experience in establishing regulatory programs and control environments, he is also an excellent resource for clients attempting to understand and meet their regulatory compliance obligations. Mr. Martinez also helps financial services companies manage their cybersecurity and privacy obligations by developing information security policies, procedures, incident response plans and business continuity plans.
Mr. Martinez worked in the SEC’ Division of Enforcement for almost twelve years. As an enforcement staff attorney and senior counsel, he brought numerous actions against corporations and individuals, obtained tens of millions of dollars in penalties and disgorgement, and helped secure two convictions in parallel criminal prosecutions.
Mr. Martinez served as an Assistant Director and Senior Officer in the Enforcement Division for five years. He most recently led the Enforcement Division’s Office of Market Intelligence (OMI). OMI conducts market surveillance, supports trading-based investigations, and collects, analyzes, and disseminates tips, complaints, referrals, and other forms of intelligence submitted to the SEC by the public, whistleblowers, self-regulatory organizations, and other government agencies. During his tenure as Chief of OMI, Mr. Martinez oversaw efforts to remove dormant shell companies from the market, support an enforcement sweep of violations of Regulation M Rule 105, and identify broker-dealers not in compliance with their Bank Secrecy Act obligations. He was also involved in numerous initiatives and task forces to improve the SEC’s data analytics capabilities, coordinate its cybersecurity efforts, and develop relationships among multiple regulatory and law enforcement agencies.
Prior to becoming the Chief of OMI, Mr. Martinez established the CFTC’s whistleblower program and served as the first Director of the CFTC’s Whistleblower Office.
Before joining the SEC in 2003, Mr. Martinez spent six years in private practice in New York and Washington, DC, as a corporate transactional attorney focusing on debt offerings and as a litigator with a diverse practice that included False Claims Act and class-action defense.
Mr. Martinez spent his third year of law school at Harvard under the Boalt-Harvard Exchange Program and was the Technical Editor for the Harvard Latino Law Journal.