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Elyse K. Yang, an associate in the Atlanta office, represents corporate and individual clients in complex civil litigation and government investigations and enforcement actions, including white collar criminal matters.  Ms. Yang also conducts internal investigations for corporate clients involving whistleblower complaints and other allegations of fraud.

Additionally, Ms. Yang represents and counsels clients in securities related regulatory, compliance and litigation matters, including Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA) investigations and rule filings.

During law school, Ms. Yang completed two internships with the SEC in the Division of Enforcement – one with the Asset Management Unit and Trial Unit and the other with Investigations and the Trial Unit.

Professional Affiliations

    • Illinois State Bar Association
    • New York State Bar Association
    • State Bar of Georgia
    • New York State Bar Association
    • State Bar of Georgia
    • State Bar of Georgia
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Representative Experience

  • Served as counsel in a federal jury trial involving allegations of securities fraud and failure to supervise. The case settled on terms favorable to the client. During the trial, Elyse argued numerous motions and cross-examined witnesses.
  • Responded to a more than 60 page SEC deficiency letter to an Investment Advisor firm that faced potential closure of its business. Result: The SEC took no enforcement action.
  • Represented an Investment Advisor firm and its president and CIO through an SEC investigation into matters related to the allocation of funds. Result: The SEC took no enforcement action.
  • Represented an investment bank through an SEC investigation into the underwriting of municipal bonds. Result: The SEC took no enforcement action.
  • Responded to subpoenas from the SEC, FDIC, a court appointed receiver, and private litigants, on behalf of a broker-dealer, related to multiple matters arising from the actions of a customer to which the brokerage firm was not a party.
  • Represented a company officer in an SEC investigation into the sale of unregistered securities.
  • Represented a senior securities professional in an SEC insider trading investigation. Result: The SEC took no enforcement action.
  • Responded to multiple SEC and FINRA requests for information on behalf of an investment bank related to its underwriting of bonds and other compliance matters.
  • Reviewed an Investment Advisor’s marketing materials for the adequacy of disclosures made therein and compliance with applicable law.

Publications

  • “The Treacherous Terrain of Penny Stocks and How Firms are Attempting to Navigate It,” Wall Street Lawyer, co-authored with John Worden, Jack Drogin and Patrick Veasy, June 2015.