Jonathan A. Roberts

Partner

Jonathan Roberts is a Partner at MSF in the firm’s White Collar and Government Investigations and Commercial Litigation Groups and represents clients in a variety of governmental investigations and regulatory matters as well as litigation.

Mr. Roberts represents companies, their employees, and other individuals in civil and regulatory matters, including investigations before the U.S. Securities and Exchange Commission (SEC), the US Department of Justice, the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB), various state regulators and Self-Regulatory Organizations. He has represented clients in multiple industries including retail, manufacturing, pharmaceutical, financial services and accounting. He has handled a wide range of securities matters including market manipulation, registration, sales practices, and insider trading inquiries.

Mr. Roberts also regularly conducts corporate and internal investigations involving securities and financial services regulatory issues including whistleblower matters. He also has handled professional malpractice actions against accountants and disciplinary actions by State Boards of Accountancy.

Education

University of Pennsylvania Law School. J.D. (Winner Keedy Cup Moot Court Tournament)

London School of Economics. M.Sc.

Johns Hopkins University. M.A.

Johns Hopkins University. B.A. (Departmental and General Honors)

Admissions

State of New York

State of New Jersey

Southern District of New York

Eastern District of New York

District of New Jersey

Prior Experience

Prior to joining MSF, Mr. Roberts was Senior Global Legal Counsel for EY in New York. He also spent three years in London at EY Global’s headquarters where he managed regulatory enforcement matters. Earlier in his career Mr. Roberts was Senior Counsel in the SEC’s Division of Enforcement where he handled investigations and litigation related to financial fraud and insider trading. He began his career as an Associate at Thelen Reid & Priest in New York and was a Law Clerk to the Honorable Donald Goldman of the New Jersey Superior Court.

Representative Matters

Representing global financial institution in FINRA inquiry regarding trading activity.

Advised EY China in the SEC action against China Big 4 firms for audit workpaper access.

Represented non-US EY firm in a multi-jurisdictional PCAOB investigation concerning audit failures by major telecommunications company.

Represented EY personnel in joint DOJ/SEC Foreign Corrupt Practices Act investigation.

Conducted internal investigation related to compliance with international and United States auditor independence requirements.

Involvement

Mentor, University of Pennsylvania Law School L.L.M. Program (2014 – present)

Member, New York City Bar Association, In-House/Outside Counsel Litigation Group (2016 – present)

Member, American Bar Association, Business Law White Collar Crime Committee (2016 – present)

Board Member, Center for Summer Learning (2004 – 2010)

Guest Lecturer, Cardozo Law School, Securities Regulation Course (2007, 2009)

 

Speaking Engagements

“International Regulatory Issues Facing Accounting Firms,” American Law Institute – American Bar Association, Conference on Accountants’ Liability (2015, 2016)

“US Auditor Liability Issues,” Aon France, Conference on Professional Liability (December 2010)

“Investigating and Prosecuting Financial Crimes,” U.S. Department of State’s Bureau of International Information Programs, Conference for Taiwanese prosecutors and investigators (June 2008) 

Forensic Accounting Workshop,” U.S. Department of State’s Bureau of International Information Programs, Conference for Costa Rican government regulators and investigators (May 2007)

“SEC Enforcement Actions in Revenue Recognition,” Center for Professional Education (2007)

“Handling an SEC or PCAOB Investigation,” ALI-ABA (May 2007)

Publications

“Securities Regulation and Foreign Discovery Under Section 1782: Will Intel Have an Impact?,” International Securities Outlook, April 5, 2004 (co-author)

“Foreign Discovery in a Post-Intel World,” International Securities Outlook, March 22, 2005 (co-author)

“Balancing ‘Special Issues’ in PCAOB Inspections of Foreign Accounting Firms,” Bloomberg Law Reports, Vol. 3, No. 39, September 28, 2009 (co-author)

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