James Q. Walker
- Firmwide Co-Lead, Fintech Compliance and Enforcement
A seasoned leader in securities and regulatory compliance, James offers in-depth guidance to clients at the leading edge of their industries.
James Q. Walker represents companies, including established and developing blockchain-based businesses, in securities enforcement matters, and advises on regulatory compliance and risk mitigation. He represents senior executives in complex investigations of fraud and other misconduct, and guides audit committees through internal investigations of corporate crimes and identification of remedial measures to address shortcomings in corporate controls. His 30-plus years of experience in securities, regulatory and criminal investigations, and in civil litigation, informs his practice. James was identified as a member of the Securities Docket’s 2024 Enforcement Elite, which “honors professionals who not only have the right stuff to handle bet-the-company matters but are also the kind of defensive specialists critical to have on speed-dial should the SEC’s Division of Enforcement come calling.”
An active leader in the legal community, James is the co-chair of the New York State Bar Association Committee on Standards of Attorney Conduct, and serves on the editorial boards of the American Bar Association/Bloomberg Law Lawyers’ Manual on Professional Conduct and Law360’s Legal Ethics Editorial Advisory Board.
Education & Credentials
Education
- Yale Law School, J.D., 1990
- Yale University, B.S., Applied Mathematics, cum laude, 1985
Bar and Court Admissions
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New York
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Connecticut
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Southern District of New York
Related Employment
- Richards Kibbe & Orbe LLP, New York, NY, Partner and General Counsel, 1999-2020
- Cleary Gottlieb Steen & Hamilton LLP, New York, NY, Associate, 1991-1995
Clerkships
- Hon. Earl B. Gillam, U.S. District Court for the Southern District of California
Professional Recognition
Named a New York Trailblazer by New York Law Journal, 2019
Recognized by The Best Lawyers in America: Criminal Defense: White-Collar, 2013-2023
Recommended by The Legal 500 United States in the area of White Collar Criminal Defense, 2016, 2020
Selected by Super Lawyers Magazine as a New York Super Lawyer in White Collar Criminal Defense, Professional Liability Defense, Corporate Governance, and Compliance, 2009-2023
Named a New York Local Litigation Star by Benchmark Litigation, 2018, 2019
Named a Future National Star by Benchmark Litigation, 2016, 2017
Named a fellow of the American Bar Foundation
Impact
Professional Leadership
- New York State Bar Association, Committee on Standards of Attorney Conduct, Vice-Chair
- New York County Lawyers' Association, Chair of Committee on Professional Ethics, Board Member
- The ABA/BNA Lawyers’ Manual on Professional Conduct, Editorial Board Chair
- Law360 Legal Ethics Editorial Advisory Board, Member
- American Bar Association, Standing Committee on Lawyers' Professional Liability, Member
- New York City Bar, Diversity, Equity and Inclusion Committee, Member
Professional Experience
Significant Audit Committee Engagements
- Represented the audit committee of an alternative asset manager in a Foreign Corrupt Practices Act (FCPA) investigation involving several investments in Africa.*
- Represented the audit committee of a real estate investment trust (REIT) in an internal investigation and related criminal and Securities and Exchange Commission (SEC) investigations of embezzlement and other misconduct by the REIT’s former chief executive officer.*
- Represented audit committee members in an internal investigation and parallel criminal and SEC proceedings involving accounting irregularities identified by the company’s outside auditor.*
*Prior experience
Significant Senior Executive Engagements
- Represented senior executives at a New York Stock Exchange (NYSE)–listed foreign company in connection with U.S. Department of Justice (DOJ) and SEC investigations of possible FCPA violations involving Eastern European subsidiaries.*
- Represented the chief executive officer of a public company in an internal investigation relating to the company’s restatement of several years of financial statements caused by an understatement of federal income tax payments.*
- Represented a senior corporate officer of a Fortune 500 company in an ERISA lawsuit, securities litigation, and criminal investigation that resulted in the convictions of the company’s chief executive officer and chief financial officer.*
- Represented the founder, sole owner, and chief executive officer of a hedge fund in connection with an SEC investigation of unlawful short selling.*
- Represented senior finance professionals of a broker-dealer in DOJ and SEC investigations of collateralized debt obligation (CDO) transactions.*
- Represented the portfolio manager of two mutual funds in parallel SEC and New York attorney general investigations of alleged front-running and inadequate fund disclosures relating to IPOs.*
- Represented a senior securities industry professional in criminal, SEC, and state investigations of market timing.*
*Prior experience
Significant Professional Liability Matters
- Defended attorneys who conducted ERISA claims review as witnesses in ERISA class action litigation.*
- Obtained reversal of court order that found attorney in contempt and referred attorney to disciplinary proceedings.*
- Persuaded debtor to abandon malpractice claim against law firm and its former partner stemming from choice-of-law advice and conflicts allegations.*
- Obtained dismissal of claims against law firm and former partner based on allegation that partner submitted false declarations in a lawsuit.*
- Represented large law firm in the internal investigation of improper payments involving attorneys in several offices of the firm.*
- Successfully defended law firm and one of its partners in a New York attorney general investigation of fraudulent conduct by a former client and possible aiding and abetting claims against partner and law firm.*
- Successfully defended law firm in the investigation and criminal prosecution of attorneys and an accountant in connection with a conspiracy to promote fraudulent tax shelters.*
- Successfully defended law firm against possible aiding and abetting allegations in a criminal investigation and prosecution of law firm client relating to a fraudulent venture capital scheme.*
- Advised law firms, attorneys, and legal departments of corporations on risk management policies and procedures to mitigate professional liability claims and in internal investigations of possible professional misconduct.*
*Prior experience
