Assistant Director (Enforcement), Securities and Exchange Commission (Los Angeles Regional Office)
Enforcement Branch Chief, Securities and Exchange Commission (Chicago Regional Office)
State Bar of California (Minority Relations Committee)
Legal Aid Foundation of Los Angeles (Board Member)
Securities and Exchange Commission Supervisory Excellence Award
Stanley Sporkin Award Nomination
Ronald E. Wood is a Senior Counsel in the Securities Litigation and Enforcement Group.
Prior to joining Proskauer, Ron spent a decade with the SEC’s Division of Enforcement, conducting and directing investigations and follow-up proceedings in matters involving insider trading, market manipulation, fraudulent stock offerings, false financial reporting and disclosure violations. He then spent six years at Morgan Stanley, where he was an Executive Director in the Law Division, managing Morgan’s Southern California legal staff in litigation and regulatory matters during the turbulent years following the bursting of the technology and telecom stock market bubble.
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Representative matters for Ron include:
Placement Agents/Pay-to-Play:
Options Backdating:
Foreign Corrupt Practices Act:
Stock Manipulation:
Insider Trading:
Financial Reporting:
Investment Advisers:
Other Regulatory Matters Defended:
Intellectual Property:
Trade Secrets:
Broker-Dealer Defense/Breach of Duty Defense:
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