Richard Levan has substantial experience in the Securities and White Collar Enforcement fields, as well as in Investment Advisor and Broker-Dealer Regulation, having previously served as Chief Litigation Counsel at the U.S. Securities and Exchange Commission’s Philadelphia Office and as an Assistant U.S. Attorney in the Department of Justice in Washington, D.C. Mr. Levan is co-chair of the Securities Regulation Committee of the Philadelphia Bar Association and a former chair of the American Bar Association’s Financial Services Integration Committee, a national group addressing the unique compliance and regulatory issues confronting banks, securities firms and insurance companies today. He has also served as a member of the Editorial Advisory Board of Securities Law360 and the Pennsylvania Securities Commission’s Attorney Advisory Board.
In addition to his extensive compliance and counseling background, Mr. Levan has over thirty years of experience handling civil and criminal cases initiated by the U.S. Department of Justice, the U.S. Securities and Exchange Commission, state securities and insurance agencies and self-regulatory organizations such as FINRA, the New York Stock Exchange, and the Philadelphia Stock Exchange.
Mr. Levan writes frequently on matters affecting the securities industry and has been quoted in many publications, including The Wall Street Journal, The American Banker, Business Week, Bloomberg News, Smart Money, IA Week, The National Law Journal and Dow Jones News Service. He has also appeared on CNN and NBC Nightly News.
He has served as a featured speaker at national compliance and regulatory conferences sponsored by such organizations as the National Society of Compliance Professionals, National Regulatory Services, American Bar Association, Society of Financial Service Professionals, NASD/Wharton Institute, Pennsylvania Bar Institute and Investment Adviser Week. Mr. Levan has been listed in Pennsylvania Super Lawyers in the field of securities litigation since 2010. He also holds an AV rating, the highest rating awarded by Martindale-Hubbell.