People

Elizabeth J. Hogan

Counsel

Hogan, Elizabeth

Elizabeth (“Lizzie”) Hogan's practice focuses on representing global financial institutions, broker-dealers, accounting firms, public companies and their employees in regulatory investigations, enforcement actions and litigation concerning compliance with the federal securities laws. She has represented executives, special committees, and institutions in a wide range of civil and criminal matters before federal courts, the SEC, the DOJ, self-regulatory organizations, federal and state bank regulators, state attorneys general, and congressional committees. She also has experience conducting domestic and global internal investigations, and working with international branch client offices in the course of those investigations and responding to related international privacy concerns.

Ms. Hogan has significant experience representing clients in investigations involving equities market structure issues, including high frequency, algorithmic, alternative and complex trading systems, as well as compliance with numerous regulatory requirements, such as the market access rule, Regulation NMS, the order protection rule, best execution, the FCPA, and the anti-fraud and manipulative trading rules.

In addition to her experience serving as outside counsel, Ms. Hogan has prior in-house legal experience. In 2013, Ms. Hogan completed a secondment with an internationally registered broker-dealer for which she assisted the US-based legal department in responding to regulatory inquiries.

Publications & News

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December 21, 2016

Anti-Money Laundering Enforcement: The Rise of Individual Liability for Compliance Professionals

Partner Sharon Cohen Levin, Counsel Elizabeth J. Hogan and Senior Associate Tamar Kaplan-Marans, in an article published by The Review of Securities & Commodities Regulation, highlight the increased individual liability risks faced by anti-money laundering compliance officers.

February 6, 2014

2013 CFTC Enforcement Year-in-Review, and a Look Forward

In recent years, the Commodity Futures Trading Commission (“CFTC” or “Commission”) has brought cases of ever-greater significance, against respondents with greater name recognition, for consistently increasing civil monetary penalties.

March 3, 2008

Recent Presentation Highlights State Tax Considerations Related to Stock Options

Recent Highlights

  • Representing the former CEO of the nation’s largest mortgage originator in a civil suit alleging insider trading and securities fraud brought by the Securities and Exchange Commission following the financial crisis
  • Defending underwriters of a secondary offering in a private action alleging violations of the Securities Act and successfully obtaining a dismissal of all claims after argument before the US Court of Appeals for the Fifth Circuit
  • Obtaining a dismissal of claims against an independent auditor in a securities fraud class action in the Western District of Texas
  • Conducting an internal investigation on two continents on behalf of a multi-national pharmaceutical company involving whistleblower claims alleging accounting fraud
  • Representing a global financial institution in an investigation into the tax treatment of derivatives held by offshore investors brought by the Senate Permanent Subcommittee on Investigations
  • Representing a multi-national financial institution in a valuation inquiry brought by the Securities and Exchange Commission resulting from the subprime mortgage crisis
  • Representing a global accounting firm in an inquiry by the Securities and Exchange Commission into violations of the auditor independence rules 

Practices

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Education

JD, magna cum laude, American University, Washington College of Law, 2005, Order of the Coif; Line Editor, American University Journal of Gender, Social Policy and the Law

BA, University of Virginia, 2000

Bar Admissions

District of Columbia

New York

Clerkships

The Hon. Jack B. Jacobs, Delaware Supreme Court

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