Faculty: Joshua M. Newville

Newville150Joshua M. Newville is a partner in Proskauer’s Litigation Department in New York. His practice focuses on commercial litigation and regulatory investigations. Mr. Newville advises companies and individuals in securities litigation and compliance matters. He also focuses on internal investigations and enforcement matters. Prior to joining Proskauer, Josh was senior counsel in the U.S. Securities and Exchange Commission’s Division of Enforcement, where he investigated and prosecuted violations of the federal securities laws. Josh served in the Enforcement Division’s Asset Management Unit, a specialized unit focusing on investment advisers and the asset management industry.  His prior experience with the SEC provides a unique perspective to help private investment funds and their advisers manage risk and handle regulatory issues.

Representative matters:

  • Led SEC investigation of prearranged trading and “parking” scheme involving a portfolio manager at a multibillion dollar asset manager and trader at a registered broker-dealer;
  • Investigated secondary market trading in pre-IPO companies and suspected security-based swap transactions in violation of certain registration requirements;
  • Litigated proceedings against private equity fund manager for misleading investors regarding fund valuation and fees;
  • Litigated complex market manipulation case against 14 defendants, including fraud claims against a law firm, offshore broker-dealer and foreign stock promoters;
  • Investigated alleged valuation and cross trading improprieties by hedge fund adviser;
  • Investigated alleged fraudulent sales practices by one of the world’s largest wealth management advisers;
  • Conducted expedited investigation to halt ongoing fraudulent boiler room targeting elderly investors; case resulted in criminal charges against various individuals;
  • Investigated major financial institution suspected of improperly valuing subprime CDOs and concealing information from auditors;
  • Litigated fraud claims against principals of a broker-dealer and investment adviser who ran a Ponzi scheme.

Josh began his legal career as an associate at another leading New York firm, where he represented and counseled clients in complex commercial litigation and government investigations. While there, Josh was part of the trial team that handled a multi-week jury trial in a federal securities class action.  He also conducted internal investigations and represented members of boards of directors in government investigations and related litigation.

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When: Wednesday, May 10, 2017
7:00 am - 8:00 am (breakfast & check-in)
8:00 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel Silicon Valley (details, map)
2050 University Ave
East Palo Alto, California 94303
CLE Credit: 6.25 hours (approved in CA)


Links to materials available here.

CLE Information and Forms

SEF2014 CLE -sm6.25 hrs CLE credit approved in CA. Forms available here.

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