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H. David Kotz
Managing Director
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Overview

Former Inspector General of the U.S. Securities and Exchange Commission H. David Kotz focuses on internal investigations and matters relating to Foreign Corrupt Practices Act and Anti-Money Laundering regulations. Mr. Kotz also serves as a compliance monitor for firms that have entered into deferred prosecution agreements and similar arrangements with government agencies. During his tenure at the SEC (2007 to 2012), he authored the landmark, widely publicized report investigating the failure of the SEC to uncover Bernard Madoff’s Ponzi scheme.

Mr. Kotz also authored numerous high-profile reports of investigation while at the SEC concerning, among others, a $7-billion alleged Ponzi scheme perpetrated by Allen Stanford, an SEC settlement of enforcement action against Bank of America, and alleged SEC coordination with Congress and the White House concerning the timing of the bringing of an enforcement action against Goldman Sachs & Co. In addition, he authored a landmark audit report analyzing the SEC’s oversight of Bear Stearns and the reasons for its collapse.

He has testified before Congress, including televised appearances before the House Financial Services Committee and Senate Banking Committee regarding the Madoff Ponzi scheme. He also previously served as inspector general of the Peace Corps.

Education

Cornell Law School
J.D., 1990

University of Maryland
B.A., Government & Politics, 1987 (cum laude)
Phi Beta Kappa Honor Society
Golden Key National Honor Society
Dean’s List

News & Insights

Selected Publications

Seminars & Speaking Engagements

News & Commentary