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

  • Representing a co-founder of a leading bitcoin derivatives trading platform in a SDNY criminal case alleging willful violations of the Bank Secrecy Act, as well as parallel CFTC civil enforcement arising from alleged failure to register with the Commission. Also handling the defense of numerous civil lawsuits for same client.   
  • 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 regulatory compliance-related matters relating to cryptocurrency and other digital assets.
  • 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.

Speeches

Recognition