FacultyFaculty/Author Profile
John J. Sikora, Jr.

John J. Sikora, Jr.

Latham & Watkins LLP

Chicago, IL, USA


John Sikora is a member of the Litigation & Trial Department.

Profile

Mr. Sikora’s practice focuses on enforcement matters covering all aspects of the US federal securities laws, including the registration, reporting and antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Mr. Sikora advises clients on enforcement and compliance issues related to hedge funds, private equity funds, mutual funds and separate accounts managed by registered investment advisers. In addition, Mr. Sikora advises clients on enforcement issues related to the conduct of auditors.

Mr. Sikora joins Latham & Watkins after a 16-year tenure at the Securities and Exchange Commission (SEC), where he was most recently an Assistant Director in the Chicago Regional Office and in the Asset Management Unit of the SEC’s Enforcement Division, a national specialized unit that focuses on misconduct by investment advisers, investment companies and private funds.

At the SEC, Mr. Sikora was responsible for supervising all types of SEC enforcement activities, including investigations involving issuer accounting fraud and other disclosure violations, misconduct by investment advisers, broker-dealers and auditors, and insider trading. Many of the investigations supervised by Mr. Sikora resulted in parallel prosecutions by the Department of Justice. Mr. Sikora supervised investigations that led to a number of high profile enforcement actions during his tenure at the SEC, including an action alleging a pay-to-play scheme involving the former Mayor and Treasurer of the City of Detroit and a major investment adviser to Detroit’s public pension funds, a seminal action regarding limitations on capital raising activities by private fund managers, an administrative proceeding alleging deception of the Board of Trustees of a money market mutual fund and deviations from the exemptive rules applicable to money market funds, an action alleging a massive fraud by an international hedge fund manager, an action alleging undisclosed executive compensation and financial fraud by a public company and its top officers, and stand alone 102(e) proceedings alleging improper professional conduct by auditors.

Mr. Sikora also oversaw a number of highly complex receiverships during his tenure at the SEC, including a receivership over a broker-dealer that underwrote numerous bond issuances and a receivership over a private equity fund manager and its affiliated funds.

Mr. Sikora is frequent speaker and panelist on securities law issues at programs organized by a wide variety of groups, including the American Bar Association, the Chicago Bar Association, the Association of SEC Alumni, and the Investment Advisers Association. Mr. Sikora earned the Chartered Alternative Investment Analyst (CAIA) designation in April 2012.

Education

J.D., Northwestern University School of Law, 1991

BA (History), Trinity University, 1988, magna cum laude

Bar Qualifications

Illinois

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