Michael "Mike" Piazza

Leveraging my experience as a former Regional Trial Counsel for the U.S. SEC's Los Angeles Regional Office, I now focus my private practice on regulatory compliance, investigations, and dispute resolution. I advise clients on compliance with the Foreign Corrupt Practices Act, the UK Bribery Act, AML statutes, OFAC, and other anti-corruption laws, regulations, and sanctions worldwide. I conduct risk assessments and then design, implement, execute and monitor global anti-corruption compliance programs. And because of the increasing concern about protecting privacy and personal data, my compliance efforts further focus on assessing cybersecurity risks, and advising on potential solutions.In addition, I represent and defend companies and individuals involved in various types of government investigations and enforcement actions, and take those matters through trial if necessary. I have tried, litigated, or arbitrated matters concerning alleged accounting fraud, insider trading, offering fraud, market manipulation, hedge fund fraud, '33 Act, '34 Act, and '40 Act violations, and alleged compliance failures. CORE COMPETENCIES: Global and Domestic Investigations • SEC Enforcement Defense • White Collar Defense • Investment Advisor and Broker/Dealer Matters •Insider Trading Matters • Anti-Corruption Risk Assessments • FCPA, AML, and Sanctions Compliance. • Complex Commercial Trials and Arbitrations • Securities Class Action and Derivative Litigation • Crypto Regulation and Enforcement Defense • Whistleblower Matters • Privacy Law Compliance • Accounting Matters Including Accountant Regulatory Defense and Accounting Firm Defense Attorney Advertising. Prior results do not guarantee a similar outcome.

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