Enforcement 40 for 2013: Herbert F. Janick, III

Herb Janick conducts a general securities regulatory and enforcement defense practice that draws on his experience as general counsel of UBS Financial Services (formerly Painewebber Inc.) and a senior member of the SEC’s Enforcement Division. Herb’s practice includes conducting internal investigations and reviews, providing advice concerning compliance systems and controls, and representing broker-dealers, investment advisors, hedge funds, public companies and senior corporate officers in connection with investigations by the SEC, DOJ, other federal regulators, FINRA, the PCAOB, and various state regulators and attorneys general.