Mike Piazza

When asked about his approach to practicing law, Mike said, “I try to embody the full meaning of being a legal counselor. Even when clients have a potential legal matter that is not within my competencies, I will help them find the right lawyer to address their needs.” He said, “I take my responsibilities very seriously and bring my best effort every day to the legal needs of clients.” One client said, “Mike Piazza is one of the most professional and unrelenting attorneys I have experienced in my life. He helped overturn a complicated and entirely unwarranted attack from both the SEC and DOJ. I would ask for his help again in a heartbeat!” 

Mike Piazza is a litigator with extensive experience in white collar defense, securities litigation, complex commercial litigation, bet-the-company business disputes, and accountant liability. He represents individuals and companies entangled in complex and high-profile legal disputes. 

With a focus on regulatory compliance, investigations, dispute resolution, and trial representation, Mike counsels and represents clients  on matters including:  

• Compliance programs including anti-bribery, anti-corruption and anti-money laundering policies, and Sanctions regime compliance   

• Securities Class and Derivative actions 

• Complex commercial trials and arbitrations 

• Privacy law compliance 

• Compliance risk assessments 

• SEC and DOJ enforcement defense 

• Whistleblower complaints 

• White collar defense and investigations 

When counseled by Mike, clients have a strategic advisor who leverages his deep experience with SEC policies and investigation priorities to anticipate regulatory moves and adapt defense strategies. His tenure as former Regional Trial Counsel for the U.S. SEC’s Pacific  Regional Office in Los Angeles further informs his understanding and strategic approach to regulatory compliance and dispute resolution, making him a formidable ally to clients facing regulatory scrutiny. 

A CEO client said, “What makes Mike special is he truly understands business. He has represented me and the companies where I have worked. He provides counsel and an understanding of the law and is great at looking at situations from multiple angles to get the best outcome.” 

Mike’s approach is tailored to mitigate risks, safeguard reputations and preserve clients’ financial health, providing thoughtful legal defense and strategic guidance.   He zealously represents clients  confronted with allegations brought by U.S. regulatory authorities including state attorneys general, the Department of Justice (DOJ), the Securities & Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Federal Trade Commission (FTC), the Public Company Accounting Oversight Board (PCOAB), and foreign regulatory authoritiesconcerning: 

• ’33 Act, ’34 Act, and ’40 Act violations 

• FCPA violations 

• UK Bribery Act violations 

• Accounting fraud and malpractice 

• Audit failures 

• Compliance failures 

• Corporate fraud 

• Insider trading 

• Market manipulation 

• Offering fraud 

• Securities fraud 

• Shareholder disputes 

• An authoritative white-collar defense voice, Mike is regularly quoted by the Wall Street Journal, Financial Times, Bloomberg, Law360 and Capitol Matters, a newsletter for private equity firms, bankers, and other financial institutions.