Bio

Samuel Winer, a partner and litigation lawyer with Foley & Lardner LLP, represents public companies, their board committees and auditors, investment banks, investment advisers, broker dealers, attorneys, and others in SEC investigations and related proceedings. Sandy is an experienced investigator with particular expertise leading teams in domestic and cross-border internal investigations. Sandy has deep experience advising public companies on sound governance, effective compliance procedures, and appropriate internal controls. He has served as an SEC independent consultant and an SEC/DOJ independent monitor responsible for overseeing and evaluating the compliance function of companies sanctioned by the SEC, including as the Foreign Corrupt Practices Act (“FCPA”) monitor for one of the largest publicly held hedge funds in the country. Sandy also counsels securities broker-dealers and investment advisers on compliance. He has represented various securities broker-dealers in SEC and SRO investigations of sales practices, municipal securities business, equity, fixed income and financial futures trading, and back office compliance and related supervision. He has represented various broker-dealers in significant investigations of the NASDAQ market, municipal securities offerings, sales of derivatives, financial reporting, and net capital compliance. Sandy is a member of the firm’s Securities Enforcement and Litigation Practice and a former member of the firm’s Management Committee. He served one year as a law clerk to Chief Justice Thomas H. Roberts of the Supreme Court of Rhode Island.