FacultyFaculty/Author Profile
Carmen J. Lawrence

Carmen J. Lawrence

King & Spalding

New York, NY, USA


Carmen Lawrence is a partner in King & Spalding’s Special Matters and Government Investigations practice group.

Ms. Lawrence's practice focuses on representing parties in investigations and litigations conducted primarily by the US Securities and Exchange Commission, US Commodity Futures Trading Commission, US Department of Justice, self-regulatory organizations and state securities regulators, conducting internal investigations, providing crisis management advice to public and private companies and counseling public companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities laws.

From 1996 until June 2000, Ms. Lawrence was the Regional Director for the SEC's Northeast Regional Office (covering 14 states and the District of Columbia), where she oversaw all enforcement and regulatory operations in the SEC's largest region.  Some of the SEC's most significant cases were brought by the Northeast Regional Office under Ms. Lawrence's leadership.

Before her appointment as regional director, from 1990 through  1995, Ms. Lawrence served as Senior Associate Regional Director, heading up the Northeast Regional Office’s Enforcement Division.  From 1981 to 1989, she served in various staff and senior positions in the Enforcement Division.

Ms. Lawrence has spoken extensively and participates in numerous continuing legal education programs for federal securities law matters.

Memberships

Co-Chair, Sub-Committee on SEC Enforcement and Civil Litigation of the American Bar Association Business Law Section

Trustee, Practising Law Institute

Member, American Bar Association

Member, Federal Bar Council

Trustee, Southern Vermont College

Awards & Recognition

Ms. Lawrence received numerous awards during her tenure at the SEC, including the Equal Employment Opportunity Award in 1998; the Presidential Distinguished Executive Award in 1995; the Stanley Sporkin Award in 1993; and the Irving M. Pollack Award, presented to an enforcement lawyer exhibiting leadership, integrity and intellect, in  1990.

Ms. Lawrence is consistently recognized by Chambers USA: America’s Leading Lawyers for Business as a leading individual for Securities Regulation and for Litigation: White-Collar Crime & Government Investigations.  She is consistently recognized by Legal 500 in Litigation: White-Collar Criminal Defense, and is additionally recognized in Financial Services: Litigation.  She is also consistently recognized by Benchmark: Litigation as a New York Litigation Star. She was named to Securities Docket's inaugural "Enforcement 40" list of top SEC enforcement lawyers in 2013.

Education

J.D., University of Michigan Law School, 1981

B.A., Cornell University, 1978

Carmen J. Lawrence is associated with the following items:
Course Handbooks  Course Handbooks Broker/Dealer Regulation and Enforcement 2016
Securities Regulation Institute (48th Annual)
Broker/Dealer Regulation and Enforcement 2017
49th Annual Institute on Securities Regulation
Web Segment  Web Segment SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
CHB Chapters  CHB Chapters King & Spalding, 2017 Financial Industry Regulatory Priorities, OCIE and FINRA Announce Examination Areas of Focus (January 17, 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
King & Spalding, Reflections on Kokesh v. SEC: Potential Ramifications of SEC Disgorgement Being a Penalty (June 14, 2017) - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers - SEC, CFTC, DOJ and SRO Enforcement of Brokers/Dealers, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
Live Seminar  Live Seminar Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
50th Annual Institute on Securities Regulation, Wednesday, November 07, 2018, New York, NY
Live Webcast  Live Webcast Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
50th Annual Institute on Securities Regulation, Wednesday, November 07, 2018, New York, NY
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