Jan M. Folena is chair of the securities & regulatory enforcement group at Stradley Ronon Stevens & Young, LLP. Folena advises high-profile individuals on white-collar criminal defense, internal investigations, and regulatory enforcement matters, spanning a range of industries including, financial services, investment management, and corporate governance, guiding clients through complex compliance challenges and government inquiries. A standout case includes representing an asset management client in a Liquidity Rule enforcement case, achieving a complete dismissal.
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Work highlights
Represented a assets management/fund board client in the SEC’s first-ever enforcement action under its Liquidity Rule against trustees of a mutual fund.