Foley & Lardner LLP

Kenneth B. Winer

Partner

Kenneth B. Winer is a partner with Foley & Lardner LLP and a member of the firm's Securities Enforcement & Litigation and Transactional & Securities Practices. Mr. Winer represents clients in investigations by the Securities and Exchange Commission (SEC), self-regulatory organizations, the Department of Justice and other government agencies, and in securities litigation and internal investigations. In addition, Mr. Winer advises clients regarding compliance with the Foreign Corrupt Practice Act and conducts internal investigations.

From 1983 until 1988, Mr. Winer was a staff attorney, senior counsel and branch chief with the SEC's Division of Enforcement. Since leaving the SEC, Mr. Winer has represented individuals and entities in investigations relating to the following: financial fraud, including investigations relating to accounting issues and other disclosure issues; the Foreign Corrupt Practices Act; broker-dealers, including investigations of sales practices, quality of supervision, market-making, underwriting, and net capital; insider trading; market manipulation; and municipal bonds.

Mr. Winer speaks regularly on topics relating to securities enforcement, internal investigations, the FCPA and corporate governance at seminars and conferences sponsored by such organizations as the American Bar Association, the Association of Corporate Counsel, the D.C. Bar, PLI, Financial Executives International, and CFO Executive Programs.

Mr. Winer is former chair of the D.C. Bar Committee on Corporate Governance and Accounting and former chair of the D.C. Bar Committee on Broker-Dealer Regulation and SEC Enforcement.

Mr. Winer graduated from the University of Pennsylvania's Wharton School (B.S., finance, summa cum laude) and Harvard Law School (J.D., cum laude, 1981).

Selected Publications

  • “Potential Implications of Judge Rakoff’s Recent Rejection of the SEC’s Proposed Settlement with Cititgroup Subsidiary,” Law360, New York (November 30, 2011)
  • “Inside SEC’s New Whistleblower Program,” Law360, New York (June 6, 2011)
  • “Securities Enforcement: Counseling and Defense,” Matthew Bender & Company, Inc. (2010)
  • “Securities Enforcement Investigations,” Chapter 88, Securities Law Techniques, Matthew Bender & Company, Inc. (2010)
  • “The SEC Standard of Professional Conduct for Attorneys,” Chapter 88a, Securities Law Techniques, Matthew Bender & Company, Inc. (2010)
  • “Case Study: SEC v. Conaway,” Law360, New York (March 10, 2010)
  • “Recent Opinion Sheds Light on the Relevance of Due Diligence to the FCPA’s ‘Knowledge Requirement,’” Corporate Accountability Report (BNA) (Vol. 4, Issue 45, November 13, 2009)
  • “A Mighty Sword: Should the SEC Bring Enforcement Actions Solely on the Basis of Control Person Liability?” Securities Regulation & Law Report (Vol. 41, No. 36, September 14, 2009)
  • “SEC’s Expanded Arsenal: Control Person Liability,” Law360 (September 2, 2009)
  • “The SEC Stance on Nature’s Sunshine,” Law360 (August 5, 2009)
  • “Confidentiality Requests in Light of SEC v Cuban,” Law360, New York (January 2009)
  • “Lessons from the Siemens FCPA Cases,” Insights: Corporate and Securities Law Advisor (Vol. 23, No. 1, January 2009)
  • "A New Burr Under The SEC’s Saddle: Changing Standards for SEC Enforcement Remedies," Insights: Corporate and Securities Law Advisor (Vol. 21, No. 7, 2007)
  • "Responding to Audit Inquiries in a Time of Heightened Peril," Securities Regulation & Law Report (Vol. 36, No. 42, October 25, 2004)
  • "SEC Enforcement Investigations," ACC Docket (Vol. 21, No. 10, November/December 2003)
  • "SEC Fires Warning Shots on Third-Party Liability: Time to Enhance Compliance Measures," The Corporate Governance Advisor (July/August 2003)
  • "The New Sarbanes-Oxley Attorney Responsibility Standards," ACCA Docket (Vol. 21, No. 5, May 2003)
  • "Practicing Law Under New Standards of Professional Conduct," Corporate Counsel Weekly (Vol. 18, No. 9, February 26, 2003)
  • "Effective Representation of Public Companies in the SEC Wells Process," The Securities Reporter (Vol. 7, Issue 1 Spring 2002)
  • "When You Become a Target of the SEC," Directors & Boards (Spring 2002)
  • "What Directors Should Know about SEC Enforcement Investigations," Corporate Governance Advisor (Jan/Feb 2002)
  • Responding To An Inquiry From The SEC Division Of Enforcement (Bureau of National Affairs, 1998)
  • "Securities Enforcement: Questions You Are Likely to Be Asked When Your Corporation Becomes the Subject of an SEC Enforcement Inquiry," Corporate Counsel Weekly (BNA, Aug. 2001)
  • "Compliance Programs Take on New Importance in a Global Economy," Business Law Today (ABA Nov./Dec. 1999)
  • "Internal Investigations in a Global Economy," International Corporate Counsel Quarterly (Business Laws, Inc. October 1999)
  • "Corporate Internal Investigations," Chapter 5a in BNA/ACCA Compliance Manual (BNA June 1999)
  • "Defending the Insider Trading Probe," 41 The Practical Lawyer 63 (The American Law, September 1995)
  • "When the SEC Comes Calling: A Step-by-Step Guide by Former Enforcers," 3 Business Law Today 13 (ABA July/August 1994)
  • "Prompt Action Taken in Response to SEC Investigation May Ease Impact of Potentially Long, Burdensome Process," 9 BNA's Corporate Counsel Weekly 8 (February 2, 1994)

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