Robert W. Pommer III is a partner in the Government, Regulatory & Internal Investigations practice group in the Washington, D.C., office of Kirkland & Ellis LLP. His practice focuses on a broad range of securities-related enforcement and compliance issues. As an experienced trial attorney, Bob represents investment advisers, financial institutions, public companies and accounting firms, and their senior executives in enforcement investigations and litigation conducted by the U.S. Securities and Exchange Commission (SEC), the Public Company Accounting Oversight Board (PCAOB), the Department of Justice (DOJ), and other governmental entities and financial services regulators. In addition, Bob conducts internal investigations and counsels companies on regulatory compliance, corporate governance and other SEC-related issues.
Prior to joining Kirkland, Bob served as Assistant Chief Litigation Counsel in the SEC's Division of Enforcement. During his nine years of service with the SEC, Bob was responsible for investigating and litigating several high-profile cases involving complex financial frauds and audit failures. Bob acted as first-chair trial attorney in other enforcement actions involving insider trading, investment adviser and broker-dealer issues, market manipulation, and other violations of the federal securities laws.
Registered Adviser Seminar & CCO Summit, speaker, 2015–2018
WHF Securities Task Force, "The SEC Enforcement Division's Not-so-New Asset Management Unit — How has the initiative fared, what does the future hold?" panel presentation (January 10, 2012)
Securities Docket, "Insider Trading and the Use of Expert Networks," webcast presentation (March 22, 2011)
Chicago Bar Association, Investment Management Subcommittee, "SEC Enforcement Developments," presentation (January 13, 2011)
California Society of CPAs, Litigation Sections Steering Committee meeting, "Trends in SEC Accounting and Auditing Enforcement Cases," presentation (January 14, 2010)
ABA 4th Annual National Institute on Securities Fraud, Washington, D.C., "Reserve Accounting Cases," panel presentation (October 15, 2009)
Chicago Bar Association, Investment Management Subcommittee, "SEC Enforcement Developments, Investment Companies and Advisers," panel presentation (September 15, 2009)
California Society of CPAs, Accounting Principles and Auditing Standards Committee meeting, "The Anatomy of SEC Auditor Investigations," panel presentation (May 15, 2008)
DC Bar Association, Corporation, Finance and Securities Law Section, "The Impact of Stoneridge and other Recent Supreme Court Cases on the SEC's Enforcement Program," speaker (January 29, 2008), reported in BNA Securities Regulation & Law Reporter (February 4, 2008)
U.S. Securities and Exchange Commission: Director's Award (December 2003, 2005 and 2007) awarded to Bob for his outstanding contribution to the enforcement of the federal securities laws.
Admissions & Qualifications
- 1995District of Columbia
- The Catholic University of America, Columbus School of LawJ.D.1993
- Boston CollegeB.A., History1988