Erin Ardale Koeppel

Partner at K&L Gates LLP

Erin Ardale Koeppel

Erin Ardale Koeppel

Partner at K&L Gates LLP

Biography

Erin Koeppel is an experienced government enforcement lawyer who defends financial services clients and other companies and individuals in government investigations, regulatory or private litigation and corporate internal investigations. Ms. Koeppel regularly represents broker-dealers, investment advisers, investment companies, public companies, boards of directors, corporate officers, accountants and other individuals in governmental investigations and enforcement proceedings brought by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of Justice (DOJ), the Federal Deposit Insurance Corporation (FDIC) and other federal and state government agencies. She also has extensive experience handling complex securities and financial services litigation, including class actions, derivative lawsuits and securities arbitrations.

Ms. Koeppel advises clients with respect to investigations or litigation involving:

* Broker-dealer regulation
* Securities sales practices, including retirement investments
* Investment management and registered or private funds
* Anti-money laundering (AML)
* Cybersecurity
* Corporate disclosure issues
* Accounting irregularities and financial reporting issues
* Alleged insider trading or market manipulation
* Conflicts of interest or asserted corporate governance failures
* Government contracts
* Claims against corporate officers or directors
* Compliance or supervisory issues

Her practice also includes counseling clients with respect to corporate governance and compliance matters, as well as drafting compliance policies, procedures and training materials for various companies. Ms. Koeppel also regularly assists clients in responding to regulatory examinations.

Ms. Koeppel is the Washington, D.C. office's pro bono coordinator and is a member of the firm-wide pro bono committee.

Ms. Koeppel’s representative experience includes:

* Defending senior accounting officer at Fortune 100 company with respect to SEC action involving alleged billion dollar revenue recognition fraud; all claims against client dismissed before trial after extensive litigation.
* Defending mutual fund directors in SEC investigation regarding adequacy of contract renewal (Section 15(c)) process and related disclosures; investigation concluded with no action against clients.
* Winning summary judgment on behalf of hedge fund investment adviser and managers on claims brought by the SEC under the anti-fraud provisions of the federal securities laws relating to valuation of the fund’s portfolio and alleged misrepresentations in stock purchase agreement.
* Representing investment adviser to large mutual fund complex and affiliated broker-dealer in shareholder lawsuit alleging excessive fees and improper relationships with securities firms that sold mutual fund shares; obtained dismissal of all claims against clients.
* Conducting global internal investigation of U.S. affiliate of Japanese public company concerning financial reporting and internal controls.
* Defending independent board of trustees of mutual fund company in derivative lawsuit alleging breach of fiduciary duty.
* Serving as counsel to the bankruptcy examiners appointed with respect to WorldCom and New Century Financial Corporation and assisted the examiners in conducting complex investigations that focused on reported accounting irregularities.
* Defending broker-dealer and executive in FINRA disciplinary proceeding relating to alleged violations of anti-money laundering laws and regulations.
* Representing broker-dealer in SEC examination regarding sales practices relating to retirement investments, including individual retirement account roll overs and the federal thrift savings plan.
* Counseling investment adviser regarding anti-money laundering and cybersecurity matters.
* Defending broker-dealer and individuals in multiple SEC and FINRA investigations involving sales and exchanges of variable annuities.
* Defending broker-dealers and investment advisers with respect to multiple investigations by the SEC and FINRA regarding revenue sharing involving mutual funds or other products.
* Defending broker-dealer in connection with SEC cybersecurity investigation.
* Conducting internal investigation of government contractor with regard to potential violations of the False Claims Act and Anti-Kickback Act.
* Conducting internal investigation of mortgage broker regarding potential violations of the False Claims Act and other federal and state laws.
* Defending broker-dealers in FINRA arbitrations involving customer disputes and member controversies.
* Defending former research analyst in CFA Institute Professional Conduct Program proceeding.
* Defending appraisal management company in action brought by FDIC as receiver for failed bank.
* Defending appraisal management company in state disciplinary actions regarding mandatory reporting obligations and customary and reasonable fees.

Achievements

* Recognized as a Washington, D.C. “Rising Star” for Securities Litigation

Professional/Civic Activities

* American Bar Association
* District of Columbia Bar Association
* New York State Bar Association
* Women’s White Collar Defense Association

Overview
RelSci Relationships

1648

Number of Boards

1

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Managing Partner, Boston Office at K&L Gates LLP

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Managing Partner, US at K&L Gates LLP

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Managing Partner, Seattle Office, Co-Managing Partner, United States & Chair of Firmwide Diversity Committee at K&L Gates LLP

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Chairman Practice Area Leader-Asset Management & Investment Funds at K&L Gates LLP

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Partner at K&L Gates LLP

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Partner at K&L Gates LLP

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Partner at K&L Gates LLP

Relationship likelihood: Strong

Partner at K&L Gates LLP

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Partner at K&L Gates LLP

Relationship likelihood: Strong

Partner at K&L Gates LLP

Relationship likelihood: Strong

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Erin Ardale Koeppel
Partner at K&L Gates LLP
Education
J.D.
Class of 2000

Cornell Law School, located in Ithaca, New York, is a graduate school of Cornell University and one of the five Ivy League law schools. The school confers three law degrees. The school has three law journals that are student-edited: the Cornell Law Review, the Cornell International Law Journal, and the Cornell Journal of Law and Public Policy. Additionally, the Journal of Empirical Legal Studies is a peer-reviewed journal that is published by Cornell Law faculty.

B.A., magna cum laude
Class of 1997

Ohio Wesleyan University is a national liberal arts and sciences university with a major international presence. It is located in Delaware, Ohio, a small community just 20 miles from Columbus, the nation’s 16th-largest city. OWU offers 93 majors, sequences, and courses of study, as well as 23 varsity sports. OWU is one of only 40 institutions featured in the highly regarded book Colleges That Change Lives.

Memberships
Member
Current

American Bar Association provides legal services. It provides law school accreditation, continuing legal education, legal information and other services to assist legal professionals. The firm has members which include judges, court administrators, law professors, and non-practicing attorneys. The company was founded on August 21, 1878 and is headquartered in Chicago, IL.

Member
Current

The New York State Bar Association (NYSBA) is a voluntary bar association for the state of New York. NYSBA was founded in 1877 with the stated goal to cultivate the science of jurisprudence; to promote reform in the law; to facilitate the administration of justice, and to elevate the standards of integrity, honor, professional skill, and courtesy in the legal profession. Its first President was David B. Hill. Among the reforms in the legislation signed into law creating the association was the removal of the restrictions on the admission of women to the practice of law. In 1896, NYSBA proposed the first global means for settling disputes among nations, what is now called the Permanent Court of Arbitration in The Hague.

Member
Current

The Bar Association of the District of Columbia was founded in 1871 and is the third oldest Bar Association in the nation (following the Boston City and New York City Bar Associations). BADC's members play a vital role in our city’s and nation’s advocacy system. The BADC is DC's voluntary bar and seeks to promote civility, justice and collegiality among members of the legal profession in the nation's capital.

Career History
Partner
Current

K&L Gates comprises approximately 2,000 lawyers globally who practice in fully integrated offices located on five continents. The firm represents leading multinational corporations, growth and middle-market companies, capital markets participants and entrepreneurs in every major industry group as well as public sector entities, educational institutions, philanthropic organizations and individuals.

Other Affiliations

Erin Ardale Koeppel is affiliated with K&L Gates LLP

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