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Michael K. Lowman

Member

Tysons Corner Office
8000 Towers Crescent Drive, Suite 900
Tysons Corner, VA 22182
Phone: 703-847-6300
Fax: (703) 847-6312

Michael Lowman has over 25 years of securities law experience. He has represented clients in matters involving a broad array of securities law issues, including regulatory and internal investigations, 10A investigations, criminal parallel proceedings, SEC enforcement actions, civil litigation and securities law disclosure and compliance. Mr. Lowman has represented domestic and global public companies, their officers and directors, and board committees, including in the aviation, aerospace, automotive, defense contracting, construction, health insurance, technology, telecommunications, mining, solar, home health care, broker-dealer and investment management industries. Due to his deep experience in cross-border investigations, he has served as an expert witness on behalf of Canadian securities regulators on cross-border securities law investigations, guest-lectured law school classes on securities law topics, and written extensively on topics that include the FCPA, insider trading and SEC enforcement trends. Mr. Lowman has been recognized by Super Lawyers in the area of Securities Litigation since 2012.

Relying on his deep trial and litigation experience, Mr. Lowman has also handled high-stakes corporate and commercial cases, including insurance coverage, complex multi-party construction disputes and consumer class actions. He was named a “recommended” lawyer to handle complex commercial disputes in the 2018 Legal 500.

Before entering private practice, Mr. Lowman served as both as Senior Counsel and Assistant Chief Litigation Counsel with the SEC’s Division of Enforcement. During this time, he was primary trial counsel in a wide variety of civil and administrative enforcement actions. He investigated and tried complex financial fraud, insider trading, FCPA, broker-dealer and offering fraud cases. Michael also teamed with federal, state and foreign criminal law enforcement agencies in parallel criminal proceedings and cross-border securities law matters. He received two Division Director Awards for his contributions to the Commission’s enforcement program.

Education

J.D., Washington College of Law, The American University, Summa Cum Laude (1992)
B.A., The State University of New York at Buffalo, Summa Cum Laude (1989)

Service to the Bar

Chair, Committee on Broker-Dealer Regulation and SEC Enforcement, District of Columbia Bar Association, September 2008 to 2011

Chair, Committee on Corporate Counsel, District of Columbia Bar Association, September 2011 to 2013

Publications

Co-Author, Michael K. Lowman, Thomas C. Newkirk, Chapter 3, “Document Productions in SEC Investigations; and Appendix 3A”, SEC Compliance and Enforcement Answer Book (2020 Edition), Practising Law Institute, August 2019.

Author, Inside Information: Prevention of Abuse, Bureau of National Affairs, 2008-2018.

Contributing Author, “The FCPA Books and Records and Internal Controls Provisions,” Practicing Under the U.S. Anti-Corruption Laws, Aspen Book Publishers, 2011-2014.

Contributing Author, “The FCPA Business Guide,” Jenner & Block LLP, 2013-2017.

Co-Author, Inside The Minds: SEC Compliance Best Practices – Leading Lawyers on Working with the SEC, Structuring Effective Compliance Programs, and Evaluating Securities Developments, Aspatore/West Publishing, 2010.

Co-Author, Founding Partners” Decision Shows Limits of SEC’s Power Over Relief Defendants, Law.com, Aug. 26, 2009.

Co-Author, Insider Trading Compliance Programs in SEC Crosshairs, ABA Law Trends & News Practice Area Newsletter, Winter 2009.

Co-Author, Insider Trading Compliance Programs in SEC Crosshairs, ABA Business Law Today, July/August 2008.

Co-Author, SEC’s Warning Shot on Insider Trading Compliance, Securities Law 360, April 18, 2008.

Speaking Engagements

Speaker, “False Claims Act and Public Companies,” ACC, October 16, 2019.

Speaker, “SEC Investigations and Enforcement Actions in 2018: Practical Tips and Strategies,” The Knowledge Group, March 14, 2018.

Speaker, “How to Effectively Deal with SEC Investigations and Enforcement Actions,” The Knowledge Group, February 2, 2017.

Speaker, “SEC Enforcement: The Current Landscape,” CPE Inc., June 17, 2016.


Speaker, “Eliminating The Company Stock Fund From Your Public Company’s 401(k) Plan – Navigating The Securities And ERISA Fiduciary Issues,” American Benefits Council, May 21, 2015.

Speaker, “Global Securities Enforcement Issues: From Morrison to China,” District of Columbia Bar Association, May 9, 2013.

Speaker, “Enforcement of the Federal Securities Laws in a Global Financial Marketplace: Public and Private Perspectives on Morrison v. National Australia Bank,” District of Columbia Bar Association, January 5, 2011.

Speaker, “Hedge Funds, Sports Owners and Bears, Oh My!: The Latest Trends and Developments in Insider Trading Law and Enforcement Priorities,” District of Columbia Bar Association, March 18, 2010.

Speaker, “Private Securities Litigation: Critical Trends and Developments in Securities Class Actions,” District of Columbia Bar Association, March 10, 2010.

Speaker, “The ABCs of a FINRA Enforcement Investigation,” District of Columbia Bar Association, February 2, 2010.

Speaker, “Madoff is Gone But Not Forgotten: A Review of The Potential Regulatory and Enforcement Impacts on Broker-Dealers After Madoff and the SEC Inspector General’s Report,” District of Columbia Bar Association, January 19, 2010.

Speaker, “Update on e-Discovery,” National Association of Wholesaler-Distributors’ Billion Dollar Company Chief Legal Officer Roundtable, November 11, 2009.

Speaker, “Public and Private Perspectives on the Enforcement of the Federal Securities Laws in our Global Market,” District of Columbia Bar Association, March 4, 2009.

Speaker, “In-House Litigation Accounting: Your Clients Expect You to Know! Your Company Expects You to Get It Right!” District of Columbia Bar Association, December 4, 2008.

Speaker, “Back to the Future in Insider Trading – Current Developments in Enforcement and Defense in View of the Recent Increase in Government Prosecutions: DOJ, SEC and Private Bar,” District of Columbia Bar Association, April 3, 2008.

Speaker, “Electronically Stored Information: New Challenges Facing Today’s Companies,” National Association of Wholesaler-Distributors’ Billion Dollar Company Chief Legal Officer Roundtable, October 8, 2007.

Speaker, “12(j) Deregistration Proceedings: 16% of the SEC Enforcement Docket and Growing,” District of Columbia Bar Association, February 28, 2007.

State Bar Admissions

Virginia
District of Columbia
Maryland
New York

Federal Court Bar Admissions

Eastern District of Virginia
District Court of the District of Columbia
District of Maryland
Southern District of New York
Eastern District of New York
Western District of Michigan
United States Court of Appeals for the Eleventh Circuit

Clerkship

The Honorable Howard S. Chasanow, Maryland Court of Appeals, 1992-1993