FacultyFaculty/Author Profile

Ken C. Joseph

Duff & Phelps, LLC
Managing Director, Global Leader, Disputes
New York, NY, USA


Ken C. Joseph, Esq. is a Managing Director and the Global Leader of Duff & Phelps, LLC’s Disputes practice, and Head of the firm’s Blockchain and Cryptocurrency Task Force.  Ken focuses on serving clients who need informed and proven strategies to successfully navigate a broad spectrum of threats arising from investigations, compliance examinations, litigation, and crisis scenarios. Ken has a unique combination of front-line expertise and experience in U.S. securities law, regulatory compliance, and corporate governance. He served with distinction for a total of over 21 years at the U.S. Securities and Exchange Commission, including service as one of the inaugural supervisors in the Division of Enforcement’s specialized asset management unit, and most recently as a senior officer in the Commission’s Office of Compliance Inspections and Examinations. He has investigated, supervised, and resolved numerous complex and high-profile cases involving a wide variety of alleged misconduct by market professionals, individuals, and by public and private entities.   

Ken’s extensive docket of cases and compliance examinations at the SEC included allegations and/or findings of breaches of the anti-fraud provisions, fiduciary duty, disclosure, custody and compliance requirements, as well as the anti-corruption, data privacy and cybersecurity obligations under the federal securities laws. And, he led his team’s response to regulatory concerns involving reinsurance products, special purpose vehicles, credit default swaps, auction rate securities, cyber-intrusions, Brexit, high-yield bonds, fee and expense allocations, undisclosed conflicts, and share class selection, among others.

Ken holds a Juris Doctor degree from the University of North Carolina at Chapel Hill School of Law. He also earned B.S., MBA, and post-graduate degrees in Marketing Management and International Finance from St. John’s University, New York. He is admitted to practice law in the U.S. District Court for the Southern and Eastern Districts of New York, as well as the States of New York and Connecticut. He is a frequent speaker at industry panels on matters relating to SEC enforcement and securities law compliance, governance, and risk management and has represented the SEC on several foreign technical assistance missions. Ken also has substantial experience interacting with U.S. and foreign regulators and law enforcement agencies from the state, federal, and international levels, including those from the Department of Justice, the Federal Bureau of Investigation, the United States Postal Inspection Service, the Financial Industry Regulatory Authority, the Federal Reserve, and state securities regulators.

Ken C. Joseph is associated with the following items:
Web Segment  Web Segment Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds - Private Fund Regulatory Developments and Compliance Challenges 2018, Thursday, February 01, 2018
MP3 Audio  MP3 Audio Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds - Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds, Thursday, February 01, 2018
Transcripts  Transcripts Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds - Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds, Thursday, February 01, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds - Regulatory Developments and Compliance Challenges Facing SEC-Regulated Private Funds, Thursday, February 01, 2018
On-Demand Web Programs  On-Demand Web Programs Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, February 07, 2018, New York, NY
Live Seminar  Live Seminar Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
Live Webcast  Live Webcast Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Boston, MA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Indianapolis, IN
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Mechanicsburg, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Nashville, TN
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Pittsburgh, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Philadelphia, PA
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