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Lawyers

Fuad Rana

Lawyers

Fuad Rana

Counsel
White Collar Defense & Investigations
Washington DC

Represents issuers, financial institutions and individuals in government investigations. Served as Assistant Director in the SEC Enforcement Division.

Fuad represents companies, financial institutions and individuals in investigations before the SEC, DOJ and other regulatory authorities. He also conducts internal investigations on behalf of companies and advises clients on regulatory compliance and mitigating enforcement risk.

Fuad was previously Assistant Director in the SEC’s Division of Enforcement, where he led investigations across the agency’s enforcement jurisdiction, with particular focus on matters involving public company accounting and disclosure, broker-dealers, auditor liability and the FCPA. He also supervised investigations in emerging areas such as ESG, cybersecurity and Regulation Best Interest. Fuad played a lead role in several “sweeps” and initiatives focused on public company financial reporting, including the Division’s Earnings Per Share Initiative. He has significant experience conducting cross-border investigations, including coordinating multi-jurisdiction resolutions with foreign authorities.

Experience

SEC Investigations
  • Obtained termination notice for large technology public company concerning accounting for supplier rebates
  • Obtained termination notice for a CEO in a SPAC-related investigation
  • A hedge fund adviser in a trade compliance investigation
  • A medical device manufacturer in an investigation into regulatory disclosures
  • A former public company CEO in an investigation concerning disclosures
Other Government and Internal Investigations
  • J.P. Morgan Securities in connection with the resolution of a trade surveillance matter with the CFTC
  • A large financial institution in an internal investigation concerning internal controls
  • Multiple regulated entities in SEC examinations

Insights

Your 2024 Form 10-K roadmap

SEC & CFTC Enforcement Update

Education

J.D., Georgetown University Law Center
  • magna cum laude
  • Order of the Coif
  • Executive Articles Editor, Georgetown Law Journal
M.S., International Politics and Economics, London School of Economics and Political Science
B.S.F.S., International Economics, Georgetown University
  • magna cum laude

Clerkships

Law Clerk, Hon. Julio Fuentes, U.S. Court of Appeals, Third Circuit, 2004-2005

Prior experience

  • U.S. Securities and Exchange Commission, 2011-2023
    • Assistant Director, Division of Enforcement, 2015-2023
    • Senior Counsel, Division of Enforcement, 2011-2015
  • Associate, Covington & Burling, 2003-2004, 2005-2010

Qualifications and admissions

  • Commonwealth of Virginia
  • District of Columbia
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