Joshua A. Ellis
Securities Enforcement and Compliance
Joshua Ellis represents a broad range of clients, including public companies and their officers, directors and employees, in investigations by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), other federal and state enforcement agencies, and FINRA.
Mr. Ellis also advises clients on compliance, disclosure, internal controls, trading and related matters. He has conducted numerous internal investigations on behalf of public company boards and audit committees.
Mr. Ellis’s matters have included the representation of:
- a public company in investigations by the SEC and DOJ involving allegations of accounting fraud;
- an investment adviser and hedge fund portfolio manager in an SEC investigation involving allegations of market manipulation and failure to supervise;
- an accounting firm in investigations by the SEC and the Public Company Accounting Oversight Board involving a company in the financial services industry;
- a public company audit committee in an internal investigation involving allegations of accounting fraud;
- a mutual fund firm on insider trading and related compliance matters;
- a public company in an internal investigation into potential violations of the Foreign Corrupt Practices Act; and
- a senior executive of a public company in an SEC insider trading investigation.
Mr. Ellis serves as vice chair of the Committee on Insider Trading Legislation of the American Bar Association Business Law Section.
J.D., J. Reuben Clark Law School, Brigham Young University, 2002 (magna cum laude)
B.A., Brigham Young University, 1998 (magna cum laude)
Law Clerk, Hon. Wade Broby, U.S. Court of Appeals for the Tenth Circuit (2002-2003)
Vice Chair, Committee on Insider Trading Legislation, Business Law Section, American Bar Association (2011-Present)
“Hands Across the Water,” International Financial Law Review, July 2011