Jamie Lacy is an associate in Winstead’s Securities Litigation & Enforcement, White-Collar Defense, and Business Litigation Practice Groups. She is also a part of Winstead's Investment Management Group and Private Funds Industry Group. Jamie represents public and private companies, hedge funds, private equity funds, asset managers, broker-dealers, registered investment advisers, officers and directors, registered persons, and other institutions in government investigations, securities law enforcement and litigation, and FINRA arbitrations. In addition, she counsels clients in regulatory and enforcement matters before the SEC, FINRA, Texas State Securities Board and other state securities regulators, as well as other regulatory and law enforcement agencies.
Prior to joining Winstead, Jamie represented commercial sureties in complex litigation involving bond disputes. Jamie also served as an extern for the SEC where she worked on various investigations and enforcement matters, including insider trading, EB-5 fraud, municipal bond fraud, and violations of the FCPA. Additionally, Jamie twice served as an extern for FINRA in their Member Regulation and Enforcement Departments.
- Represent former CEO of NYSE-listed company in securities and shareholder derivative litigation, as well as SEC investigation, involving alleged related-party transactions and issues pertaining to internal controls over financial reporting (ICFR).
- Represent former COO of NASDAQ-listed company in SEC investigation involving internal controls over financial reporting (ICFR).
- Defend former CFO of NASDAQ-listed company in SEC investigation involving executive compensation and internal controls over financial reporting (ICFR).
- Represent entrepreneur in SEC insider-trading investigation.
- Defended former CEO of large healthcare centers in SEC investigation (no charges filed), adversary proceeding brought by trustee in bankruptcy court (obtained partial summary judgment and negotiated favorable settlement), and shareholder litigation brought by large investor (negotiated favorable settlement).
- Represented option-trading hedge fund in SEC investigation into whether fund engaged in market manipulation, including matched trades, wash sales, layering, and spoofing (investigation closed with no charges being filed).
- Represented investment adviser in two separate SEC investigations (no charges filed).
- Conducted internal investigation for NYSE-listed company regarding internal controls issues.
- Represent clients in numerous governmental investigations, including by Department of Justice, various state securities regulators, and other governmental and quasi-governmental bodies.
Jamie is a co-author for Winstead’s Securities Litigation and Regulatory Enforcement blog.