FacultyFaculty/Author Profile

Ken C. Joseph

Duff & Phelps, LLC

New York, NY, USA


Ken C. Joseph, Esq. is a managing director in Duff and Phelps, LLC’s ’ Disputes and Investigations practice in New York City. His practice 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. 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 violations of federal securities law by market professionals, individuals, and by public and private entities. Ken’s extensive docket of cases and compliance examinations at the SEC included alleged violations of the anti-fraud provisions, breach of fiduciary duty, false or misleading disclosures, manipulation, misrepresentation, misappropriation, and non-compliance with the recordkeeping and custody requirements, as well as the anti-corruption, data privacy and cybersecurity obligations under the federal securities law. In total, his enforcement and examination matters on behalf of the SEC resulted in the payment of over $1 billion in monetary relief to shareholders, investors and clients. He was responsible for conducting numerous parallel investigations and successful actions in conjunction with federal, state, and local law enforcement authorities. 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 completed executive education programs at Georgetown University Law Center (through the SEC) in Securities and Financial Regulation, and at Harvard University, John F. Kennedy School of Government, Executive Education in Strategic Management of Regulatory and Enforcement Agencies. Ken 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. 
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
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