Amy is a partner and co-leader of the Securities Litigation and Enforcement practice, a component of the Global Regulatory and Enforcement group. Amy specializes in a broad range of securities litigation and enforcement matters and advises, among others:
- Financial institutions
- Hedge funds
- Mutual funds
- Other investment companies and advisers
- Securities issuers and reporting companies, and
- European and U.S. commodities traders
Amy regularly represents clients in all manner of securities regulatory investigations and enforcement proceedings; where necessary, coordinating efforts with ongoing criminal investigations, multiple enforcement/regulatory efforts or civil litigation matters. At any given time, Amy has multiple active confidential investigation matters pending in several different offices of:
- Securities and Exchange Commission (SEC)
- Department of Justice (DOJ)
- Financial Industry Regulatory Authority (FINRA)
- Self-Regulatory Organizations (SROs)
- State Attorneys General and Securities Commissions
In addition to conducting and managing internal investigations and providing compliance counseling, she advises on:
- Allegations of insider trading
- Financial fraud claims
- Issuer disclosure and reporting violations
- Fraud allegations relating to securities offerings
- Municipal securities-related violations
- Sarbanes-Oxley issues
- Anti-money laundering issues
- Violations of the Foreign Corrupt Practices Act (FCPA)
As a member of the Social and Digital Media Task Force, Amy co-authored the Securities chapter of the firm’s Social Media White Paper entitled "A Legal Guide to the Commercial Risks and Rewards of the Social Media Phenomenon."
Before joining Reed Smith, Amy served as Regional Trial Counsel in the Philadelphia Regional Office of the Securities and Exchange Commission. In that role, Amy served as the chief litigation counsel in the Philadelphia office and managed a staff of lawyers responsible for a wide variety of enforcement matters. Amy, an experienced trial lawyer, joined the agency in July 2003.
Prior to joining the SEC, Amy was in private practice in Pittsburgh, most recently, as a shareholder in the Litigation practice group of a large regional law firm, where she specialized in corporate and commercial litigation, securities litigation and enforcement proceedings, corporate governance matters, and general business litigation. Amy's commitment to public service pre-dates her recent government service, and is demonstrated by her history of volunteer service, pro bono work, and service to the bar.
Amy has received an AV Rating from Martindale-Hubbell, representing the highest possible rating by her peers in the legal profession.