Michael K. Wolensky

Partner

Michael K. Wolensky focuses his practice on clients in the financial services industry. He counsels money managers, investment advisers and broker-dealers, and individuals associated with those businesses, in a broad range of regulatory and compliance matters. He represents clients in all aspects of securities litigation, dispute resolution and market regulation matters. He represents clients in Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA) and state investigations and related litigation, including white collar matters. He conducts internal investigations for corporations and related entities.

Experience

Mr. Wolensky's reported cases include:

• S.E.C. v. Edwards, 124 S.Ct.892 (2004)
• S.E.C. v. ETS Payphones, Inc., 300 F.3d 1281 (11th Cir. 2002)
• Garland v. Advanced Medical Fund, L.P. II, 86 F. Supp.2d 1195 (N.D. Ga. 2000)
• Scott v. Prudential Securities, Inc., 141 F.3d 1007 (11th Cir. 1998)
• S.E.C. v. International Heritage, Inc., 4 F.Supp.2d 1378 (N.D. Ga. 1998)
• East Tennessee Mortg. Co., Inc. v. U.S. Fidelity and Guar. Co., 268 Ga. 536, 491 S.E. 2d 333, (1997)
• East Tennessee Mortg. Co., Inv. v. U.S. Fidelity and Guar. Co., 111 F.3d 97 (11th Cir. 1997)
• Mitcham v. Ingram, 216 Ga.App. 889, 455 S.E.2d 846 (Ga.App. 1995)
• Mitsubishi International Corp. v. Cardinal Textile Sales, Inc.,14 F.3d 1507 (11th Cir. 1994)
• Dirks v. S.E.C., 681 F.2d 824, 220 U.S. App.D.C. 309 (D.C. Cir., 1982)
• Chilivis v. S.E.C., 673 F.2d 1205, (11th Cir. 1982)
• U.S. v. Newman, 664 F.2d 12 (2nd Cir. 1981)
• Securities and Exchange Commission v. First Financial Group of Texas, Inc., 659 F.2d 660 (5th Cir. 1981)
• Hunt v. U.S. Securities & Exchange Commission, 520 F.Supp. 580 (N.D. Tex. 1981)

Publications

"Designing an Effective Retail Surveillance Program," The Review of Securities & Commodities Regulation (August 13, 2008)

Investment Adviser Compliance and Supervisory Procedures Manual (Co-Author) (2004 and 2006 Editions)

"Developments Under NASD Rule 3012 — Supervisory Control Systems," NSCP Currents (June-July 2006)

"Internal Investigations in the Era of 'Cooperation'," CLE International Seminar, Atlanta, (May 20, 2005)

"Ninth Circuit Defines 'Extraordinary' for Sarbanes-Oxley Escrow Provisions," Wall Street Lawyer (May 2005). Reprinted: "Recent Developments In the Law Affecting Corporate Counsel," Tort Trial & Insurance Practice Law Journal (Winter 2006)

Speeches and Presentations

Mr. Wolensky is a speaker, panelist and moderator at several annual national and regional conferences involving securities laws issues, including the SIFMA Legal & Compliance annual meeting, the National Society of Compliance Professionals national and regional meetings and continuing legal educational programs.

Previous Experience

Prior to entering private law practice, Mr. Wolensky served for 16 years in a series of increasingly senior attorney and legal administrative positions at the SEC, including Associate General Counsel and Regional Director of the Atlanta Region.

Awards and Honors

Georgia Super Lawyers, Securities Litigation

Education

Professional Memberships

National Society of Compliance Professionals
Director

Securities Industry Association
Legal & Compliance Division

American Bar Association
Section of Business Law
Section of Litigation

Litigation Counsel of America
Fellow