Mary P. Hansen

Partner Philadelphia
mary.hansen dbr.com
Phone: (215) 988-3317

About

Mary P. Hansen defends clients in regulatory investigations as well as white collar criminal proceedings in the financial services industry. She also assists clients with internal investigations and compliance and prevention strategies.

Prior to joining the firm, Mary spent eight years as an enforcement attorney at the U.S. Securities & Exchange Commission. As an Assistant Director in the Division of Enforcement, Mary was responsible for supervising teams of attorneys and accountants in the division’s Market Abuse and Municipal Securities and Public Pensions Units.

During her tenure at the Commission, Mary conducted and supervised complex investigations and litigations involving a range of violations, including insider trading, broker-­dealer fraud, investment adviser fraud, offering fraud, Ponzi schemes, market manipulation, municipal securities fraud and Foreign Corrupt Practices Act violations.

Prior to joining the SEC in 2004, Mary worked as a litigation associate at New York and Philadelphia law firms where she represented corporate and individual clients in connection with regulatory and criminal investigations as well as civil commercial disputes. After law school, she clerked for the Honorable Raymond J. Dearie, U.S. District Court for the Eastern District of New York. Prior to law school, Mary worked at a large, multi-national broker-dealer in various audit and compliance roles. As a securities industry professional, Mary passed the FINRA Series, 3, 5, 7, 8, 15, and 65 Examinations.

Mary maintains the SECurities Law Perspectives blog, which provides reports, discussions and analyses on noteworthy trends in SEC enforcement and regulatory activity. Her insights and perspectives on SEC developments are based on her knowledge and familiarity with the industry and the federal securities laws combined with her understanding and knowledge of the internal workings of the SEC.

In addition to her blog, Mary is a frequent speaker on issues such as insider trading, the SEC’s Whistleblower Program, the Foreign Corrupt Practices Act, and regulatory issues facing investment advisers.

Experience

Mary has successfully defended numerous clients in regulatory investigations as well as white collar criminal proceedings in the financial services industry. Her recent successes include:

  • Represents individuals and pooled investment vehicles in connection SEC insider trading investigations.
  • Represents a registered investment adviser in connection with parallel “Pay-to-Play” investigations being conducted by the SEC and DOJ.
  • Represents a U.K.-based registered investment adviser in connection with parallel NFA and CFTC investigations.
  • Represents an individual in connection with a CFTC investigation involving foreign currency transactions.
  • Represents a publicly traded asset management company in an SEC investigation regarding various disclosure and accounting issues.
  • Represents a former CEO of a public company in connection with an SEC investigation involving potential misrepresentations and omissions in public filings, press releases and earnings calls.
  • Represents a registered investment adviser in connection with an investigation by the SEC involving the calculation of management fees and expenses.
  • Counsels registered investment advisers in connection with SEC regulatory examinations.
  • Counsels clients with respect to FCPA compliance, including policies and procedures.
  • Advises boards of directors of registered investment companies with regard to SEC issues.
  • Represented a mutual fund adviser in connection with a SEC investigation conducted by the Asset Management Unit and obtained a termination letter indicating the SEC staff did not intend to recommend any charges.
  • Represented registered investment advisers in connection with third-party subpoenas issues in private actions involving foreign currency trading.
  • Represented registered representatives in connection with FINRA investigations involving issues such as selling-away, potential conflicts of issues and non-reporting of felony convictions.
  • Represented an individual in connection with a federal civil complaint filed by the SEC and a criminal indictment alleging market manipulation.
  • Represented a sponsor of an EB-5 Visa program in connection with an investigation by the SEC and obtained a termination letter indicating the SEC staff did not intend to recommend any charges.
  • Represented a trust company being investigated by the SEC in connection with certain private offerings of securities.
  • Conducted, on behalf of a pharmaceutical company, an internal investigation involving potential unlawful insider trading by a senior executive as well as potential whistleblower and retaliation claims.
  • Conducted, on behalf of a pharmaceutical company, an internal investigation involving allegations of wrongful termination based on certain conflicts of interest.
  • Represented a major public university in an ongoing internal investigation involving allegations of sexual misconduct by a professor.
  • Represented an individual involved in market manipulation investigation conducted by the Commodity Futures Trading Commission.
  • Counseled insurance companies in connection with responding to NYDFS Section 308 investigative notices seeking to confirm compliance with OFAC sanction rules.
  • Led investigations involving best execution violations that resulted in several major broker-dealers settling with the SEC.
  • Led an investigation that resulted in the SEC charging the State of New Jersey with securities fraud based upon misrepresentations and omissions in the State’s pension funding obligations for its two largest pension funds in connection with billions of dollars on municipal bond offerings.
  • Conducted and led multiple insider trading investigations that led to significant filings by the SEC and parallel criminal charges.
  • Conducted and led investigations involving Foreign Corrupt Practices Act violations that resulted in the filing of civil and criminal charges.
  • Conducted and led numerous investigations involving offering frauds and Ponzi schemes which resulted in the filing of civil and criminal charges.
  • Conducted and led several investigations involving organized market manipulation schemes by multiple individuals and entities located throughout the world which resulted in the filing of civil and criminal charges.

Credentials

Bar Admissions

  • New Jersey
  • New York
  • Pennsylvania

Education

  • St. John's University School of Law, J.D., magna cum laude
  • University at Albany, State University of New York, B.A., Economics

Court Admissions

  • U.S. District Court, District of New Jersey
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Southern District of New York
  • U.S. District Court, Eastern District of Pennsylvania