Alyse (“Ali”) J. Rivett

Ali advises and defends clients in SEC and other regulatory investigations, including those related to insider trading, disclosure violations, cybersecurity and data breaches, internal controls issues, conflicts of interest, and accounting misconduct. Board committees and companies also engage Ali to conduct sensitive, internal investigations and advise on whistleblower allegations and disclosure issues. Beyond her securities enforcement and investigations practice, Ali has also litigated several complex civil litigation matters and securities class actions.

Ali is the deputy leader of the San Francisco litigation practice group and is active in several other firm initiatives. She has been a leader of the firm’s Parent Lawyer Network since 2021, was previously on the San Francisco office’s Recruitment Committee and was a member of the firm’s inaugural Global Committee on Associates.

Regulatory Investigations

• Represented financial services firms in connection with SEC investigations concerning the use of off-channel communications, as well as recordkeeping and books-and-records obligations
• Represented an executive of a publicly held dual registrant in an SEC investigation involving disclosures relating to its robo-adviser business
• Represented a publicly held registered entity in connection with an SEC investigation concerning the cyberattack of the client’s vendor
• Represented the former audit committee chair and board member of a public technology company in an SEC investigation concerning company disclosures
• Represented multiple brokerage firms in connection with FINRA enforcement investigations regarding options applications
• Represented an investment adviser and broker-dealer in connection with an SEC investigation regarding disclosures and policies and procedures concerning alternative investments
• Represented a senior executive of a public company in connection with an SEC insider trading investigation
• Represented the former CEO of a publicly traded pharmaceutical company in connection with an SEC insider trading investigation
• Represented a registrant in connection with a cybersecurity incident and related SEC inquiries
• Represented a Fortune 50 technology company in a multijurisdictional investigation by the SEC, DOJ, and UK Serious Fraud Office concerning the accounting practices of a company acquired by our client

Internal Investigations

• Represented a Special Board Committee of a biotechnology company and investigated allegations concerning violations of the federal securities laws, FDA regulations, and clinical protocols
• Represented a Special Board Committee of a pre-IPO technology company and investigated allegations concerning public disclosures and internal controls
• Conducted an internal investigation for a public company concerning allegations regarding revenue manipulation and misleading disclosures
• Represented the Audit Committee of a public company and investigated allegations concerning improper revenue recognition and accounting errors
• Represented a Special Board Committee of a biopharmaceutical company and investigated alleged breaches of fiduciary duty by the company’s directors and officers

Securities and Other Litigation Matters

• Represented an executive of a privately held real estate corporation in connection with derivative claims for breach of fiduciary duty and a related special litigation committee investigation
• Represented the CEO and CFO of a Fortune 500 cybersecurity software company in connection with an audit committee investigation and a securities class action alleging accounting fraud
• Represented a Fortune 500 technology company in litigation related to restricted stock units received by employees in connection with the company’s IPO
• Represented underwriters in multiple state and federal securities shareholder class actions alleging violations of the Securities Act of 1933