Roel C. Campos is a partner in the firm’s Washington, DC, office and is Chair of the Securities Enforcement practice. Roel’s practice consists of advising senior management and boards in their most sensitive and complex issues. His practice often involves conducting internal investigations and defending matters involving financial regulators, such as the SEC, DOJ, CFTC, and FINRA. He also advises boards on items such as cybersecurity, governance, cryptocurrency and proposed rulemakings by financial regulators.
Beginning in 2002, Roel was appointed twice by President George W. Bush and confirmed by the US Senate as a Commissioner of the SEC, serving until 2007. During his tenure, Roel presided over hundreds of complex enforcement cases and rulemakings, involving the full range of federal securities laws.
Prior to being appointed to the SEC, Roel raised venture capital with partners, was a senior executive and operated a radio broadcasting company.
He began his career after graduating from the US Air Force Academy and served as an officer for five years. After attending Harvard Law School, he worked in Los Angeles for major law firms as a corporate transactions/securities lawyer and litigator.
Roel served in the US Attorney’s Office in Los Angeles. He prosecuted major narcotics cartels and, in a celebrated trial, convicted several kingpin cartel members for the kidnapping and murder of a DEA agent.
Examples of Recent Representations
High profile founder/executive, defending him in an SEC investigation and from charges resulting from a tweet about going private.
A drug company CFO, defending him in an fraud SEC investigation.
A Fund Manager, defending in an SEC fraud investigation and subsequent Administrative Law Judge proceeding.
An insurance company, in a state insurance fraud investigation and audit dispute.
Highlighted Lectures and Publications
Speaker, "Guiding Principles for Cyber Risk Governance," Webcast, July 18, 2018
Speaker, “The SEC Speaks,” Panels by Division of Enforcement and Office of Compliance Inspections and Examinations, February 2018
Quoted in “Trump’s SEC Makes Slow Progress on Trimming Rules,” The Wall Street Journal, February 26, 2018
Speaker, “Enforcement and Insider Trading: Emerging Issues and SEC Priorities in 2018,” RCA Symposium, New York City, November 7, 2017
Speaker, “Enforcement Practice 2017: Part II,” RCA Symposium, New York City, May 18, 2017
Speaker, “Enforcement Practice 2017: Part I,” RCA Symposium, Bermuda, April 27, 2017
Speaker, “SEC Enforcement Under Trump,” PracticEdge Curriculum, December 8, 2016
Speaker, “Enforcement 2016: New Priorities, Initiatives, and Latest Developments,” RCA Symposium, New York City, November 2, 2016
Speaker, “The SEC Speaks: Compliance Inspections and Examinations,” Practising Law Institute, Washington, DC, Feb. 20, 2015
“Global Capital Markets Perspectives,” Practising Law Institute, April 25, 2012
Speaker, “Regulation & Risk Thought Leadership Symposium,” Regulatory Compliance Association, April 16, 2012
Speaker, “Shaping the Future,” Council of Institutional Investors’ Spring Conference, April 3, 2012
Speaker, “Demonize the Executives: Corporate Governance in a Post Dodd-Frank World,” Minority Corporate Counsel Association (MCCA) 11th Annual Continuing Legal Education (CLE) Expo, March 21, 2012
“Roel Campos on Standardizing Accounting Principles, Self-Funding the SEC,” Outside Publication, Bloomberg Brief, Feb. 24, 2012
Speaker, “Board Diversity and Composition: Hiring, Firing and Evaluating the New Realities of Governance,” Seventh Annual Directors’ College for Stanford University, June 21, 2011
Speaker, “Anti-Corruption Risk Assessments and Third-Party Due Diligence,” GCM Parker’s Second Annual Business Ethics Anti-Corruption & Fraud Prevention Strategies in CEE, SEE & CIS, Prague, March 24, 2011
Coauthored, "The Retirement Protection Gap: Unequal Disclosures for Retirement Investors," BNA Pension & Benefits Reporter (March 2006)