Overview

Colm Cross represents corporations, financial services firms, and individuals in high-stakes government investigations and enforcement actions. His practice encompasses matters involving the U.S. Department of Justice, including accounting fraud and wire fraud investigations, as well as the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, and various state regulators. He has worked on investigations and enforcement actions at every stage, including responding to government subpoenas and regulator requests, preparing witnesses for testimony and on-the-record interviews, drafting white papers and Wells submissions, and negotiating settlements. Colm has co-authored several articles on regulatory compliance and enforcement trends, including analyses of proposed rules and updates on areas of regulatory scrutiny.

In addition to his government investigations practice, Colm represents companies and individuals in a wide variety of complex civil litigation matters. His civil practice includes partnership and corporate governance disputes, real estate litigation, securities litigation, breach of contract and licensing disputes, and business tort claims.

Colm had the privilege of clerking for the late Hon. William H. Pauley of the U.S. District Court for the Southern District of New York. He also served as a judicial intern for the Hon. Patty Shwartz of the U.S. Court of Appeals for the Third Circuit.

Colm earned his J.D., cum laude, from Duke University School of Law, where he served on the Editorial Board of the Duke Law Journal and received the James S. Bidlake Memorial Award for Superior Achievement in Legal Analysis, Research, and Writing. He was a member of the Duke Moot Court and Mock Trial boards, and was co-champion of the Twiggs-Beskind Trial Competition. Prior to joining Bienert Katzman Littrell Williams LLP, Colm was a managing associate in Sidley Austin LLP’s Washington, D.C. office.

Before law school, Colm was a business analyst and consultant for Deloitte Consulting LLP, where he worked with federal agencies and a quasi-public corporation to help employees adapt to changes related to technology implementations and new legislation. He earned a B.S.F.S. from Georgetown University’s Walsh School of Foreign Service and an honors certificate from the Landegger Program in International Business Diplomacy.

Representative Matters

Criminal and Enforcement Matters

  • Represented broker-dealers in connection with SEC and FINRA investigations into compliance with Regulation SHO.
  • Represented financial services firms in connection with SEC investigations related to the maintenance and preservation of electronic communications.
  • Represented investment banks in connection with SEC and FINRA investigations into compliance with insider trading rules.
  • Represented a broker-dealer in connection with a FINRA investigation related to fully-paid securities lending.
  • Represented a market making firm in connection with an NYSE investigation related to trading practices and strategies.
  • Represented a special purpose acquisition company in connection with an SEC investigation related to financial projections and regulatory filings.
  • Represented a public company in connection with SEC and DOJ investigations related to accounting practices.
  • Represented a broker-dealer in connection with an SEC investigation into compliance with books and records rules.