Diversity & Inclusion
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:
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)