Sullivan, Cary D.

Current Employment Position(s)

Associate

Lawyer Overview

Cary's practice focuses on corporate and securities litigation. He has represented public and private companies, banks, broker-dealers, investment advisors, and individuals in matters before the SEC, FINRA/NASD, NYSE, CFTC, state securities agencies, and in federal and state courts. Cary has experience in matters involving financial reporting, insider trading, market manipulation, revenue sharing programs, research analyst regulation, mutual fund and annuity sales, and retail brokerage issues. He also manages internal corporate investigations and advises clients on regulatory compliance and information management.

Cary's representative matters include serving as company counsel for banks, broker-dealers, and investment advisors involved in regulatory examinations, enforcement actions, and private securities litigation. In addition, he has been company and committee counsel for public and private companies conducting internal investigations relating to accounting irregularities and stock option issues, and he has been individual counsel for directors and officers involved in a variety of criminal and civil proceedings.

Cary has been invited to speak on a number of corporate and securities issues, including "Privilege and the Attorney-Client Relationship After McNulty and Reyes: How to Respond to the Changing Enforcement and Ethical Landscape" and "Stock Options: Looking Back and Moving Forward."

Areas of Practice

• Securities Litigation & SEC Enforcement
• Accounting & GAAP Issues
• SEC Investigations & Proceedings
• Securities Fraud Class Actions
• Shareholder Derivative Actions

West Practice Categories

Administrative Law, Business & Commercial Law, Capital Markets, Commodities, Foreign Investment, Private Placements, Public Offerings, Securities Fraud & Insider Trading, Securities Law, Securities Regulation, Taxation Law

Bar Admissions

• California

Education

• Oregon State University
• U of San Diego

Address

3161 Michelson Drive, Suite 800
Irvine, CA 92612-4408

Phones

1.949.553.7513 (Business Phone)

Faxes

1.949.553.7539 (Business Fax)

Emails

Contact Us (Business Email)

Websites

http://www.jonesday.com