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.

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.

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.

Education

University of Pennsylvania Law School. J.D. (Winner Keedy Cup Moot Court Tournament) 1995

London School of Economics. M.Sc. 1992

Johns Hopkins University. M.A. 1991

Johns Hopkins University. B.A. (Departmental and General Honors) 1991

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

Mr. Roberts was previously Senior Global Legal Counsel for EY in New York. Earlier in his career Mr. Roberts was Senior Counsel in the SEC’s Division of Enforcement.  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

Representation of a global financial institution in a series of FINRA trading inquiries regarding transactions by the firm’s investment banking division.

Represented non-US firm in a multi-jurisdictional Public Company Accounting Oversight Board investigation.

Represented a company’s personnel in joint DOJ/SEC Foreign Corrupt Practices Act investigation.

Conducted internal investigation for a company related to its compliance with international and US accounting and auditing requirements.

Represented multi-state real estate development firm and its principals in investigation by the New York State Attorney General’s office related to allegations of tenant harassment.

Representation of a former senior executive of a mutual fund management company in reinstatement application to the SEC.

Represented investment advisory firm in FINRA arbitration.

Advised investment advisory firm on SEC inspection and related remediation.

Involvement

Board Member, Center for Summer Learning, 2004-2010

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

Mentor, University of Pennsylvania Law School LLM 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

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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