Key Experience

  • Handles white collar and other enforcement and regulatory matters, securities class action litigation and internal investigations.
  • Clients include investment management firms, public and private companies, and individuals.
  • Served as senior counsel in the SEC’s (Securities and Exchange Commission) Division of Enforcement in Los Angeles, as well as a member of the division’s selective Market Abuse Unit.

Practice

Peter Altman represents investment management firms, private and public companies, and individuals in white collar and other government enforcement and regulatory matters, securities class litigation and internal investigations. He also advises investment advisers on day-to-day risk management issues related to topics including securities trading, compliance with the Investment Advisers Act, and the use of big data and alternative forms of electronic communication.

Representative Work

  • Deploys his detailed understanding of securities laws to regularly advise SEC-registered clients on both regulatory matters and other commercial priorities, including investment fund formation, mergers and acquisitions, corporate form strategies, labor and employment issues, and tax analyses. Serves as outside general counsel for clients without in-house legal capabilities.
  • Advising individuals and investment advisors in matters concerning cryptocurrencies and other digital assets, including co-leading multiple representations of individuals in active criminal and regulatory enforcement investigations of trading practices and other regulatory compliance-related issues on cryptocurrency trading platforms.
  • Defended an individual in an insider trading investigation by the SEC, and secured the first-ever deferred prosecution agreement with the SEC in such a matter.
  • Successfully defended a major hedge fund advisor in an investigation by the SEC and a related criminal investigation in the Southern District of New York concerning insider trading allegations. No charges were filed against the client and the client was not named in public action taken by the government against a former employee of the advisor.
  • In a securities class action alleging control-person liability against a global investment firm, served as architect of the defense strategy and oversaw the execution of all aspects of litigation, including court arguments, depositions, briefings and negotiations. Achieved a huge victory, securing a highly favorable settlement funded wholly by insurance money.

Speeches

Recognition