Overview
Ning He defends financial institutions and executives in complex securities enforcement and regulatory investigations. She counsels clients on a diverse range of matters, including conflicts of interest, financial and accounting issues, marketing practices, disclosure advice, and whistleblower concerns. Ning brings a measured approach to high-pressure investigations by judiciously balancing the competing interests of multiple stakeholders to mitigate risk for her clients. Alongside her investigative work, Ning also represents clients in sophisticated business litigation and arbitration, bringing poised advocacy to every stage of a commercial dispute.
- New York
- Illinois
- US District Court, Northern District of Illinois
- J.D., Washington University in St. Louis, School of Law, 2015, Order of Barristers; Journal of Law and Policy
- B.A., Franklin & Marshall College, 2012, magna cum laude
Areas of Work
Representative Matters
Securities Enforcement & Government Investigations
- Represented a startup fintech company in multiple SEC and FINRA inquiries related to the company’s marketing practices and use of social media influencers.
- Represented a blockchain and digital asset company in a SEC investigation concerning the company’s business practices and potential offerings.
- Represented a virtual currency exchange in multiple enforcement matters by state regulators related to its money transmitter practices.
- Represented a broker-dealer in a SEC anti-money laundering investigation.
- Represented an asset management company in a SEC investigation of whistleblower claims involving conflicts of interest, executive compensation issues, misrepresentation, and omissions.
- Represented a clearing firm and its executives in a SEC investigation of the firm's securities lending practices.
- Represented a technology company in an investigation by the City of Chicago concerning fees charged and advertising practices.
Internal Investigations
- Representing the Special Committee of Lugano Diamonds & Jewelry Inc. in investigating potential claims during its Chapter 11 proceedings.
- Represented the Special Committee of Rhodium Enterprises Inc. in investigating potential claims during its Chapter 11 proceedings.
- Represented the audit committee of a publicly traded food and beverage company in connection with an internal investigation of accounting and internal control-related issues.
- Represented a publicly traded e-commerce company in an internal investigation regarding its data gathering and KPI metrics.
- Represented a publicly traded food company in an internal investigation of a whistleblower complaint concerning accounting issues.
Financial Services Litigation & Business Disputes
- First-chaired a FINRA arbitration hearing involving claims of fraud and misappropriation of assets.
- Represented offshore investors of a private equity firm in a business dispute regarding the management of student housing properties in the United States.
- Represented international companies in cross-border disputes, including employment issues, breach of contract, and M&A litigation.