Kevin C. Wallace, Partner

Kevin Wallace is a litigation partner in the firm's New York office. He has experience representing individual and corporate clients in a variety of criminal, regulatory, and complex civil matters. Mr. Wallace has guided matters through every phase of litigation, from preliminary investigations through trial and appeal. His practice includes white collar criminal defense, corporate internal investigations, SEC investigations, securities and class action litigation and other complex commercial litigation.

Prior to joining Winston & Strawn, Mr. Wallace served as a law clerk to the Honorable Richard M. Berman of the United States District Court for the Southern District of New York.  He previously practiced at Davis Polk & Wardwell.

Representative Matters

• Non-Public FCPA Investigation: Represent a  Fortune 100 manufacturing firm in an FCPA investigation conducted in response to inquiries from the SEC and DOJ
• FCPA Compliance Advice:  Advised a number of private equity funds on implementation of FCPA policies and compliance procedures.
• Imperial Finance and Trading:  Represent the Special Committee of the Imperial Board of Directors which was formed after the company was the subject of an FBI raid in September 2011.
• Reserve Primary Fund:  Represented Reserve Management Company, Inc. and two of its officers and controlling shareholders in a liquidation and enforcement action brought by the SEC and in a related class action proceeding pending in the Southern District of New York. 
• Accretive, LLC:  Represented the private equity fund manager in a complex multi-district litigation that arose from an investigation conducted by the Minnesota Attorney General into the activities of a number of portfolio companies.  Obtained the favorable resolution of both a nationwide consumer class action and an adversary action by the bankruptcy trustee of a defunct portfolio company.  
• Non-Public New York A.G. Investigation:  Successfully represented a Fortune 500 financial services company in an investigation conducted by the Investor Protection Bureau at the New York State Attorney General’s Office, convincing them to take no action against the client.
• Non-Public SEC Investigation: Convinced the SEC to take no enforcement action against a Fortune 100 financial services company that was being investigated for failure to supervise after an employee embezzled customer funds in a high profile matter.
• University Sports Publications:  Successfully obtained dismissal of consumer class action at the motion to dismiss stage.
• LionGate Capital:  An SEC enforcement action alleging violations of Regulation M, Rule 105 in the U.S. District Court for the Central District of California. 
• Ernst & Young: Second chair for multiple witnesses at federal trial in the U.S. District Court for the District of Massachusetts arising from the collapse of the Bank of New England in the early 1990s.
• Shire Pharmaceuticals: Represented a leading specialty biopharmaceutical company in connection with litigation in Delaware Chancery Court arising from an acquisition.
• Serio v. Hevesi: Successfully  represented the New York Liquidation Bureau in litigation against the New York State Comptroller's Office through to the New York Court of Appeals.
• Non-Public SEC Investigation: Successfully represented a major accounting firm in an SEC investigation regarding auditor independence.
• Frederic Layne: Obtained a transfer of venue from the Southern District of New York to Florida on behalf of a pro bono client charged in connection with an advance fee scheme.

Education