A. Valerie Mirko
A. Valerie Mirko is co-leader of Armstrong Teasdale’s Securities Regulation and Litigation practice area. She represents asset managers ─ including retail and wealth management firms ─ and private fund advisers in U.S. Securities and Exchange Commission (SEC) enforcement matters as well as in connection with examinations and regulatory matters. Valerie’s practice focuses on issues related to conflicts of interest, distribution channels and marketing, safeguards and custody, and cybersecurity.
Valerie has experience with inquiries, investigations and enforcement actions initiated by the SEC as well as the Financial Industry Regulatory Authority (FINRA) and state agencies. She also conducts internal investigations designed to advise and assist broker-dealers and investment advisers in preventing or responding to regulatory actions.
Valerie is pragmatic and leverages her past in-house and public-sector experiences when assessing regulatory and enforcement risk within the context of federal and state regulators’ policy goals. Prior to returning to private practice in 2019, Valerie was General Counsel of the North American Securities Administrators Association (NASAA), the association of state securities regulators. She was General Counsel from 2015 to 2019, having joined NASAA in 2012 and taken on leadership duties beginning in 2014. At NASAA, Valerie actively contributed to federal-state regulatory coordination with the SEC and FINRA.
Prior to joining the firm, Valerie served as a partner in the financial regulation and enforcement practice of a global law firm from 2019 to 2023.