玛格丽特-尼尔森的头像。

玛格丽特-根巴拉-纳尔逊

合作伙伴

玛格丽特-根巴拉-纳尔逊

合作伙伴

合伙人玛格丽特·金巴拉·尼尔森担任富乐律师事务所证券执法与诉讼业务组的全国主席。她代表会计师事务所、金融机构、企业及其专业人员处理审计责任事务、政府执法调查与审查,以及复杂的证券与商业诉讼案件。

Margaret has more than 20 years of experience as a regulatory and litigation lawyer focusing on complex securities, accounting, compliance, and commercial matters.

Prior to joining Foley, Margaret spent over five years as assistant general counsel for a large accounting firm where she oversaw all of the firm’s regulatory matters and much of its litigation across all business lines. In this role, she regularly interacted with the SEC, PCAOB, Department of Justice, CFTC, FDIC, Department of Labor, FINRA and various state agencies in connection with regulatory inquiries, investigations, and actions. Additionally, she routinely advised the firm on compliance, risk management, and inspection issues, gaining significant insight into the legal issues confronting the accounting industry.

Also before coming to Foley, Margaret worked at the SEC’s Chicago Regional Office for nine years as senior counsel. While there, she spearheaded numerous high-profile investigations and litigation involving a wide array of securities issues, including financial fraud, offering fraud, registration violations, broker-dealer misconduct, advisory conflicts of interest and insider trading, and often coordinated parallel investigations with other federal and state agencies, including the Department of Justice, Department of Labor, FINRA and the New York State Attorney General’s Office. Margaret was also a member of the Asset Management Unit, a national specialized unit within the SEC’s Enforcement Division that focuses on issues relating to investment advisers, investment companies and private funds.

Following law school, Margaret served as a judicial clerk to the Honorable Jerome Turner of the U.S. District Court, Western District of Tennessee. She also worked for a leading Chicago law firm focusing on complex commercial and securities litigation.

奖项与表彰

Margaret has earned multiple awards during her time with the SEC, including the Chairman’s Award for Excellence and several Division of Enforcement Director’s Awards and Special Act Awards. She was listed among the Securities Docket’s: “Enforcement Elite” for 2024.

附属机构

  • Member, Association of SEC Alumni (ASECA)
  • Western Golf Association/Evans Scholars Foundation
    • Director
    • Diversity, Equity & Inclusion Committee Member
    • Audit Committee Member
    • Former Evans Scholarship Recipient

演讲和出版物

  • 合著,"专家网络、替代数据和重大非公开信息的风险管理",《金融合规期刊》,第 7 卷,第 2 期(2023 年 12 月)
  • Quoted, “Loose Practices and Imprecise Recordkeeping Prompt SEC Scrutiny, Even When Investors Are Unharmed,” Private Equity Law Report (November 16, 2023)
  • Co-chairing, “Basics of Accounting for Lawyers 2019,” Practicing Law Institute (May 2019)
  • Speaker, “Accountants’ Liability 2019: Strategies for the Profession in an Era of Heightened Enforcement,” American Law Institute Continuing Legal Education Course (October 2019)
  • Speaker, “Accountants’ Liability 2018: The Profession in an Uncertain World”, American Law Institute Continuing Education Course (October 2018)
2025 年 11 月 4 日 荣誉与奖励

富理达律师被评为 2025 年执法精英

Foley & Lardner LLP 的合伙人 Thomas Krysa、James Lundy、Margaret Gembala Nelson 和 Jose Sanchez 被《Securities Docket》评为 2025 年执法精英。
一位西装革履的人拿着一叠文件,专注地审阅着--这反映了芝加哥律师对知识产权法的一丝不苟。
2025 年 10 月 29 日 劳动与就业法视角

第六巡回法院保护内部调查材料免于在民事诉讼中披露

2025 年 10 月 3 日,第六巡回法院批准了该强制令申请,并撤销了地区法院的命令,认定下级法院采纳了特别主事人的裁决,命令提供明显受保护的材料,从而犯下了明显错误。
2025 年 7 月 24 日 新闻

玛格丽特-尼尔森评估美国证券交易委员会的执法理念

Foley & Lardner LLP 合伙人 Margaret Gembala Nelson 在《私募股权法律报告》的文章《美国证券交易委员会执法行动提高了利益冲突的潜在重要性门槛》中发表评论,分享了对美国证券交易委员会执法理念的见解。
2025年5月20日 福莱观点

第一巡回上诉法院推翻简易判决,厘清咨询冲突中的重大性标准

一项最新裁决可能提高美国证券交易委员会(SEC)对注册投资顾问提起指控的门槛...
2024 年 2 月 7 日 交易与胜利

富理达代表天职国际就其由 Hellman & Friedman 主导的战略投资提供法律咨询

Foley & Lardner LLP 代表领先的咨询会计师事务所天职国际会计师事务所处理私募股权公司 Hellman & Friedman 和 Valeas Capital Partners 对其进行的战略投资。
Glass facade of a modern government building resembling leading law offices, with three flagpoles displaying the U.S. flag and two others in front.
December 22, 2022 Newsletters

Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

On December 5, 2022, the SEC filed a settled action against investment advisory firm Two Point Capital Management Inc. and its chief executive officer, who also served as the Firm’s chief compliance officer until February 2021.