NEW YORK, June 3, 2024 — Cozen O’Connor today announced Alexander I. Cohen — up-and-coming securities enforcement regulatory attorney who has represented and defended some of the country’s leading financial institutions, broker-dealers, and public companies in a wide range of DOJ, FINRA, and SEC-related regulatory matters — has joined its Securities Litigation & SEC Enforcement Practice. Cohen, who comes to the firm from Sidley Austin LLP, joins the firm as a member and will work out of its rapidly growing New York City office.
Cohen brings to the firm an almost 10-year track record of successfully advising and defending leading securities industry clients facing a range of high stakes enforcement and compliances matters, including government and internal investigations and complex commercial business disputes, both in court and in arbitration. He represented a national broker-dealer in a FINRA sweep investigation involving its mutual fund platform; a dually registered broker-dealer and investment adviser in a SEC sweep investigation concerning its employees’ off-channel business communications activity; a broker-dealer in SEC and FINRA investigations involving the generation of trade confirmations for its customers in connection with certain debt security transactions; a large financial institution at both trial and appellate levels in connection with a False Claims Act litigation filed in state court (with an emphasis on the public disclosure bar defense); and a managing director at a global investment bank in response to a third-party subpoena issued by the SEC for his testimony in a prosecution against a former public company CEO for his prior public statements to investors.
“Securities enforcement and regulatory priorities are constantly shifting and businesses in the financial services industry today need to understand these shifting priorities and be prepared at all times to respond to investigations and enforcement actions by government agencies and self-regulatory organizations,” said Joseph Dever, chair of the firm’s Securities Litigation & SEC Enforcement practice. “Alex brings to us an impressive track record representing major financial institutions in significant securities-related investigations and disputes. He’s an important addition to our Securities Litigation & SEC Enforcement practice and will play a key role in continuing to grow the practice. I’m thrilled to welcome him to Cozen O’Connor.”
“With a robust white-collar practice already in place, Alex will help foster the further development of the securities enforcement regulatory practice here in New York,” said Geoffrey D. Ferrer, managing partner of the New York office and vice chair of the firm's Transportation & Trade Practice. “Our white-collar group is already well positioned to handle complex government investigations, and adding the securities enforcement regulatory work Alex has done fits nicely into that structure. I’m very happy to welcome him to the New York office.”
Outside the office, Cohen has dedicated himself to improving the greater NYC community through the support of several not-for-profit organizations. His proudest achievement is helping launch The City Tutors during the pandemic, a 501(c)(3) nonprofit academic and professional development organization that supports historically underserved neighborhoods throughout New York City’s five boroughs. A member of the board of directors since the organization’s inception in 2020, Cohen has significantly contributed to The City Tutors’ efforts to forge new corporate relationships, grow its donor base and expand the Board to include individuals with senior executive experience who support the mission of the organization. Sponsors and supporting partners of City Tutors include Bloomberg, Goldman Sachs, and Paramount, among others.
“I am excited to work closely with Joe Dever, an alumni of the SEC’s enforcement division and former supervisor at the agency, to help strengthen and grow the firm’s Securities Litigation & SEC Enforcement practice,” Cohen said. “I believe that it’s an interesting time in the area of securities enforcement defense where clients prefer a range of options when selecting the right counsel to help navigate the complexity of a particular investigation, internal review or enforcement process. I am excited that Cozen O’Connor is embracing this opportunity and I’m ready to support the firm’s effort to further develop its Securities Litigation & SEC Enforcement practice.”
Cohen earned his J.D. at the University of Virginia School of Law and his B.A., summa cum laude, in political science and philosophy at Rutgers University-New Brunswick.
About Cozen O’Connor
Established in 1970, Cozen O’Connor has over 850 attorneys who help clients manage risk and make better business decisions. The firm counsels clients on their most sophisticated legal matters in all areas of the law, including litigation, corporate, and regulatory law. Representing a broad array of leading global corporations and middle market companies, Cozen O’Connor serves its clients’ needs through 32 offices across two continents.
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