Junaid A. Zubairi

Junaid Zubairi represents companies, boards, financial advisors, and senior executives in government investigations, internal investigations, securities litigation and regulatory compliance matters.

A former senior enforcement attorney at the SEC, Junaid draws on his past experience and insider perspective to help clients respond to a broad array of inquiries by the SEC, DOJ and other federal and state agencies.

Junaid advises clients on issues including alleged accounting and financial fraud, disclosure issues, investment advisor misconduct, insider trading, audit deficiencies and other high-stakes investigations. He contains problems before they escalate, and structures responses that are persuasive to regulators. Clients turn to him to secure declinations, mitigate penalties and obtain favorable resolutions in line with their broader business goals. Experienced in parallel investigations involving sensitive matters, Junaid delivers actionable guidance with discretion.

A recognized authority, Junaid speaks frequently on SEC regulatory, compliance, and enforcement trends. His insights have also been featured in SEC Today, Compliance Week, and other industry publications, where he is regularly called on to discuss regulator priorities and effective defense strategies.

Experience

• Defended the CFO of a multinational company in parallel SEC and DOJ insider trading probes and secured declinations from both agencies, allowing the client to continue in his role without penalty.
• Represented a public company in an SEC financial fraud investigation; avoided restatement and resolved without admission of wrongdoing.
• Defended a national broker-dealer in an SEC supervisory and audit case and negotiated a settlement that avoided litigation and preserved the firm’s ability to continue its core business operations.
• Led an internal investigation for a mid-sized investment adviser facing whistleblower claims. Proactive findings resulted in no SEC action.
• Advised a global manufacturer on potential FCPA violations in Southeast Asia. Implemented new controls, remediated compliance gaps and prepared the company for voluntary self-disclosure.
• Guided a hedge fund adviser through a complex SEC examination into valuation practices and fee disclosures. Refined disclosures and compliance procedures avoided enforcement referral.