Alfred U. Pavlis

Alfred Pavlis has over twenty five years of experience representing corporate and individual clients in complex civil litigation, SEC enforcement investigations, and white collar criminal matters. He also has extensive experience conducting internal investigations on behalf of boards of directors and audit committees.

Mr. Pavlis regularly represents corporations, officers, directors, and employees in a wide variety of civil cases, federal criminal investigations, SEC enforcement actions, and inquiries by state attorneys general and regulators. He has also represented clients in connection with investigations by self-regulated entities, such as the NYSE, the NASD, and FINRA. His prior cases have involved areas such as securities fraud, merger and acquisition disputes, shareholder lawsuits, civil RICO, partnership disputes, accounting fraud, FCPA violations and insider trading.

Prior to entering private practice, Mr. Pavlis was an Assistant United States Attorney for five years in the Southern District of New York, where he prosecuted federal criminal cases and was a member of the securities and commodities fraud unit.

Recent matters that he has handled include:

• defending a commodities trader in a federal criminal case brought in Chicago by the Fraud Section of the U.S. Department of Justice charging commodities and wire fraud;
• representing the Chief Financial Officer of a public company in connection with an SEC investigation of revenue recognition and other accounting issues;
• representing the managing director of a broker-dealer in a federal criminal prosecution for violations of the Foreign Corrupt Practices Act;
• representing the executors of a large probate estate in two civil RICO cases brought by a creditor and a beneficiary of the estate; 
• representing an attorney named as a defendant in a civil RICO case; 
• representing the investment advisor of two investment funds in an SEC investigation relating to the valuation of illiquid bonds held by the funds; and
• representing the manager of an investment advisor in a “Ponzi scheme” investigation by the SEC and related civil litigation brought by a court-appointed receiver.