Ivan B. Knauer

Ivan Knauer focuses his practice on securities litigation and enforcement. He represents public companies, broker-dealers, investment companies, investment advisers and individuals in class actions and arbitrations, and in enforcement matters brought by the SEC, FINRA, CFTC, CFPB, Department of Justice and other federal and state regulatory bodies. He also regularly conducts internal investigations. As a former enforcement attorney at FINRA and the SEC, Ivan also counsels financial institutions on regulatory compliance matters. He also has extensive experience with SEC receiverships and bankruptcy matters.

Representative Presentations and Publications

• Are Recent Stock Sales by Members of Congress the Tip of the Insider Trading Iceberg? Co-Author, The National Law Journal (April 17, 2020)
• Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time, Co-Author, Snell & Wilmer Legal Alert (May 3, 2019)
• Breaking Down DOJ's Enforcement and Corporate Leniency Policies, Co-Author, Denver Business Journal (June 11, 2018)
• Pepper Hamilton Practice Leader Heads to Utah, and to Snell & Wilmer, Profiled, The American Lawyer (May 23, 2018)
• Three Lines of Defense: A Risk Governance Framework, Panelist, BISA Regulatory & Compliance Summit (November 14, 2017)
• SEC Enforcement in the Trump Era, Panelist, PACDL White Collar Practice Seminar (November 2, 2017)
• Challenges Faced by Dual Registrants (Broker-Dealers and Investment Advisers), Panelist, NSCP National Conference (October 17, 2016)
• Risk Assessment in Securities and Banking Industries under SEC Rule 17-H, Panelist, BISA One Source (August 13, 2015)
• Private Equity and the SEC: A Brave New World of Scrutiny and Compliance, Co-Author, Mondaq, MCCA (May 22, 2014)
• Securities and Exchange Commission Creates New Private Fund Unit Dedicated to Examination of Private Equity and Hedge Funds, Co-Author, Mondaq, MCCA (April 10, 2014)

Other Professional Experience

•Pepper Hamilton LLP, Partner (2008-2018)
•Financial Industry Regulatory Authority (FINRA), Department of Enforcement, Vice President and Managing Trial Counsel (2005-2008)
•Pepper Hamilton LLP, Partner (2003-2005)
•Kirkpatrick & Lockhart LLP, Partner (2001-2003)
•Kirkpatrick & Lockhart LLP, Associate (1998-2001)
•Securities and Exchange Commission, Enforcement Division, Senior Counsel (1995-1998)
•Ropes & Gray LLP, Associate (1989-1995)

Related News & Events

• Apr 17
Are Recent Stock Sales by Members of Congress the Tip of the Insider Trading Iceberg?
The National Law Journal

• Jun 11
Breaking Down DOJ's Enforcement and Corporate Leniency Policies

• May 21
Snell & Wilmer’s Salt Lake City Office Welcomes Partner Ivan B. Knauer

Related Publications

• May 03
Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time