Ivan Knauer

Ivan represents clients including broker-dealers, investment advisers, public companies, officers, and directors in investigations by FINRA, the SEC and other federal and state agencies. He also defends public companies in securities class actions and has significant experience with SEC receiverships and bankruptcy matters.

With an encyclopedic knowledge of securities law and hundreds of cases under his belt, Ivan understands that there’s no such thing as cookie-cutter case. He treats every matter with a fresh perspective.

Ivan is also a versatile advocate. While many firms separately manage securities investigations and class action litigation, Ivan can see any case through from start to finish before various agencies and courts.

Ivan served in the SEC Division of Enforcement and as Managing Trial Counsel in the Enforcement Department of FINRA, so he understands how investigators build and pursue cases. In addition, as partner at large national law firms, he represented multinational corporations and led securities and financial services enforcement practice groups.

Ivan enjoys sharing his extensive experience with industry and trade groups, through speaking and writing on emerging legal and policy issues. He also has served as an expert witness in state and federal courts on various securities-related matters.

Outside of work, Ivan is on the board of the Park City Historical Society and Museum in Park City, Utah, whose mission is to preserve, protect, and promote the city’s rich history. Not only does the work appeal to his enthusiasm for history and the local community, it also provides him with insight into the workings of a board of directors.

After many years with large firms, Ivan was eager to join an agile boutique and work with attorneys with deep experience, including former SEC colleagues.

Bar Admissions

• District of Columbia
• New York
• Utah

Court Admissions

U.S. Courts of Appeal:

• 1st Circuit
• 2nd Circuit
• Federal Circuit

U.S. District Courts:

• D.D.C.
• D.Mass
• S.D.N.Y.

Specialized Courts:

• U.S. Supreme Court

Education

• J.D., New York University School of Law
• B.A., University of Pennsylvania