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Samuel J. Waldon

Partner

Sam Waldon is a partner in the Litigation Department and a member of the Asset Management Litigation, Securities Litigation, and White Collar Defense & Investigations Groups.

Sam’s practice focuses on advising private fund managers on securities litigation, enforcement and regulatory matters. He also represents corporations and financial institutions, and their officers, directors and employees, in investigations, exams, internal investigations and litigation. Sam has in-depth experience in a broad range of Securities and Exchange Commission (SEC) enforcement matters, including investment adviser, asset management, private equity, insider trading and market abuse, financial disclosure, accounting, broker dealer, FCPA, and cyber-related misconduct.

Before joining Proskauer, Sam served as Assistant Chief Counsel in the SEC’s Division of Enforcement for eight years. In that role, Sam helped develop and implement many of the Division’s policies and procedures, and advised the Division’s senior leadership, investigative staff and trial unit attorneys on a wide range of legal and policy issues. He regularly provided guidance on the terms of negotiated settlements and charging decisions in litigated matters. Sam also worked closely with staff in other Divisions and Offices throughout the SEC on enforcement related issues, including playing a key role in the drafting of the rules establishing the SEC’s whistleblower program.

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SEC Brings First Enforcement Action Against Alternative Data Provider

On September 14, 2021, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the largest sellers of market data on how apps on mobile devices are performing, and its co-founder and former CEO and Chairman Bertrand Schmitt.  The settlement is the first enforcement action brought by the … Continue Reading
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