Vince Martinez


Partner

K&L Gates LLP


Vincente (Vince) Martinez is a partner in the Washington, D.C. office of K&L Gates LLP, where he focuses on government enforcement matters. Mr. Martinez most recently served as the Chief of the Office of Market Intelligence (OMI) in the Securities and Exchange Commission’s (SEC) Division of Enforcement. OMI’s mission is to conduct market surveillance, support trading-based investigations, and collect, analyze, and disseminate 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. Before joining OMI, Mr. Martinez worked in the Division of Enforcement for seven years, investigating and litigating numerous securities law violations with a focus on large accounting frauds. His work resulted in numerous enforcement actions against corporations and individuals, tens of millions of dollars in penalties and disgorgement, and two convictions in parallel prosecutions. Immediately prior to becoming the Chief of OMI, Mr. Martinez served as the first Director of the Commodity Futures Trading Commission’s (CFTC) Whistleblower Office from 2011 to 2013, where he established the CFTC’s whistleblower program. Prior to joining the SEC in 2003, Mr. Martinez spent six years in private practice in New York and Washington, D.C., 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’s experience and skills are ideally suited for clients facing inquiries or charges from law enforcement and regulatory authorities, including the SEC, the CFTC, the Financial Industry Regulatory Authority, and the Department of Justice. Given his broad knowledge of the law and his experience in establishing regulatory programs, he is also an excellent resource for clients attempting to understand and meet their regulatory and compliance obligations.


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