Faculty: Luke T. Cadigan

Cadigan 150 v2Luke Cadigan is a partner at Cooley LLP. Luke is an experienced trial attorney and litigator who concentrates his practice on securities enforcement matters, complex commercial litigation, internal investigations, and advice on regulatory compliance.

Luke has handled investigations, examinations, and inquiries by numerous government entities, including the US Securities and Exchange Commission (SEC), the US Department of Justice (DOJ), US Attorney’s Offices, Attorney General’s Offices, Financial Industry Regulatory Authority (FINRA), Massachusetts Securities Division and the US Department of Labor. These matters include representation of:

  • Private placement agent in SEC enforcement action in federal court arising from a $75 million municipal bond offering
  • Manufacturer in SEC and DOJ investigations arising from self-report of potential Foreign Corrupt Practices Act (FCPA) violations in China, resulting in rare SEC non-prosecution agreement (NPA) and public DOJ declination
  • Numerous entities and individuals, including chairman of board of directors, investigated for insider trading by the SEC and/or the US Attorney’s Office (USAO)
  • Investment advisers, broker-dealers and employees in various SEC, USAO and DOJ investigations into fee disclosures and potential conflicts of interest
  • Employee in SEC and DOJ investigations into possible FCPA violations in Africa
  • Bond counsel in SEC investigation into municipal offering
  • Individuals and entities in criminal and civil investigations into possible violations of the False Claims Act and the Anti-Kickback Statute
  • Investment advisers in SEC investigations and enforcement actions arising from issues related to performance advertising
  • Executive in SEC and DOJ investigations into possible FCPA violations arising from hiring practices
  • Investment advisers in SEC investigations into suspected pay-to-play violations
  • Broker-dealers and employees in SEC and FINRA investigations and/or enforcement actions arising from alleged best execution violations
  • Numerous investment advisers and broker dealers in connection with SEC examinations

Luke has also conducted internal investigations in South America and Asia into possible FCPA violations. He has also handled litigation that includes representation of the following:

  • Supermarket chain and various committees of its board of directors in connection with lawsuits and/or various disputes involving shareholders, directors, officers and employees
  • Defendant in SEC enforcement action in federal court alleging that he was an unregistered broker-dealer
  • Individuals and entities in investigation and enforcement action by Massachusetts Securities Division into supposed misrepresentations and unregistered activities
  • Software company in lawsuits brought in Massachusetts and Texas arising from stock purchase agreement
  • Holders of trust preferred securities in connection with dispute against issuer concerning proposed sale of underlying assets
  • Various clients in connection with third-party subpoenas for depositions and documents

Luke is a former assistant director in the SEC’s Enforcement Division, serving in both the Boston regional office and in the SEC’s FCPA unit. He managed investigations conducted by staff attorneys and accountants including matters related to accounting fraud, offering fraud, insider trading, whistleblower complaints, investment advisers and broker-dealers. Luke also oversaw investigations into potential FCPA violations and, serving as a member of the agency’s Cross Border Working Group, he supervised investigations into the accounting practices of Chinese and other foreign companies trading on US markets.

Prior to becoming an assistant director, Luke spent 7+ years as senior trial counsel at the SEC, where he investigated and litigated dozens of high-profile matters. As lead counsel, he also successfully tried several complex matters, both in federal court and the SEC’s administrative forum. These matters include allegations of insider trading by a hedge fund employee, accounting fraud, insider trading by a director, a pay-to-play scheme by a former state senate majority leader, fraud by an investment adviser, and fraud by a broker-dealer (resulting in then the largest penalty awarded in a SEC administrative proceeding). He was a recipient of the Chairman’s Award for Excellence in 2002 and 2007, and the Division of Enforcement Director’s Award in 2007 and 2008.

Luke served as law clerk for the Honorable Edward F. Harrington of the United States District Court for the District of Massachusetts and as a special assistant district attorney in Middlesex County.

While at Boston College Law School, he served as note editor and staff writer for Boston College Law Review.

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Details

When: Thursday, October 26, 2017
7:00 am - 8:15 am (breakfast & registration)
8:15 am - 5:00 pmĀ (followed by cocktail party)
Where: Mayflower Hotel
1127 Connecticut Avenue NW
Washington, D.C. 20036
CLE Credit: 6.5 hours (approved in PA)

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