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Education and Honors
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LL.B., Yale Law School, 1969
M.A., history, Harvard University, 1966
A.B. (Rhodes Scholar), history, Oxford University, 1964
B.A. ( summa cum laude, with honors), history, Rice University, 1962 Phi Beta Kappa
Named a "Washington D.C. Super Lawyer" by Law & Politics, 2007, 2009 and 2010
Listed in The Best Lawyers in America, 2006 - 2010 and Chambers USA, 2007 - 2010
Recognized as one of the "Big Guns" in Stocks and Trades by Washingtonian magazine, 2007
Named one of the top securities lawyers in the D.C. area by Legal Times, 2003 and 2008 and one of the best SEC lawyers by the Washingtonian, 2004
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Admissions and Affiliations
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Practice Areas
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Concentration Securities enforcement, internal investigations, advising audit committees and boards
Summary James Doty represents clients before the Securities and Exchange Commission in a full range of regulatory, enforcement and compliance matters. He counsels boards of directors and audit committees on problems arising under the Sarbanes-Oxley Act of 2002 and related issues. His clients include publicly traded corporations, as well as investment banking and securities firms both in the United States and in other countries.
From May 1990 through 1992, Mr. Doty served as the general counsel of the Securities and Exchange Commission. His responsibilities included advising the Commission and its staff with respect to questions of law, the conduct of administrative proceedings, the preparation of Commission comments to Congress on pending legislation and the drafting of legislative proposals sponsored by the Commission.
Mr. Doty has repeatedly been named by the Legal Times of Washington as one of the D.C. area's foremost securities lawyers, and by Washingtonian magazine as one of Washington's best SEC lawyers.
Representative Engagements
- SEC – Independent consultant in a review of certain compliance procedures In the Matter of Edward D. Jones; In the Matter of 26 NASD Member Firms; Fund Administrator In the Matter of Gruntal & Co.
- Federal Home Loan Mortgage Corporation (Freddie Mac) – led the investigative team for the 2003 independent investigation of accounting matters
- A wide range of enforcement and enforcement-related client matters, including for Reliant Energy, Conseco, First Southwest; officers of Invesco, Citigroup, UnitedHealth Group
- Special Litigation Committee counsel, FBR Group, Independent Board counsel, WellCare, Jabil Circuit, Horizon Lines
Publications, Speeches and Presentations Publications
- "Toward a Reg. FCPA: A Modest Proposal for Change in Administering the Foreign Corrupt Practices Act," The Business Lawyer, August 2007
- "Yet Another 'Wake-Up Call' – Recent Amendments to the Federal Sentencing Guidelines," October 2005
- "Corporate Law Departments," The Journal of Mergers and Acquisitions, July 2000
- "The SEC Talks About Y2K Agency Issues: A Release to Guide Reporting Obligations," Business Law Today, November/December 1998
- "Regulatory Expectations Regarding the Conduct of Attorneys in the Enforcement of the Federal Securities Laws: Recent Development and Lessons for the Future," Business Lawyer, August 1993
- "The Role of the Securities and Exchange Commission in an Internationalized Marketplace," Fordham Law Review, May 1992
- "The Professional as Defendant," The Corporate Analyst, August 1992
Speeches and Presentations
- Chair, "Corporate Finance – A Bridge Over Troubled Waters: Challenges and Approaches to an International Market," 40th Annual Rocky Mountain Securities Conference, Denver, May 2008
- "Effectively Using and Maintaining Productive Relationships with Internal and External Auditors," 12thAnnual Corporate Counsel Institute 2008, Georgetown University Law Center, March 2008
- Chair, "Corporate Governance 2008: Counseling Your Clients for the 2008 Proxy Season," Practising Law Institute, New York, February 2008
- "Key Developments in Securities Litigation," 30th Annual Conference on Securities Regulation and Business Law, The University of Texas School of Law, Dallas, February 2008
- "The Implications of Liability, Litigation, and Governance Structure for the Auditing Profession," Treasury Department's Advisory Committee on the Auditing Profession, Washington, DC, December 2007
- "Securities Litigation: Current Developments & Strategies," New York City Bar, New York, December 2007
- "Corporate Governance Issues," 39th Annual Institute on Securities Regulation, Practising Law Institute, New York, November 2007
- "Internal Corporate Investigations: A New Day," 27th Annual Conference on Securities Regulation and Business Law Problems, The University of Texas School of Law, Dallas, February 2005
- Chair, Corporate Governance 2005: Dealing With the Governance and Disclosure Challenges Ahead, Practising Law Institute, New York, February 2005
- "Emerging Aspects of the Internal Investigation," The Law Firm Liability Institute, NorthStar Conferences, New York, June 2004
- "Corporate Governance: Emerging Aspects of the Internal Investigation," 36th Rocky Mountain Securities Conference, Denver, June 2004
- "Maintaining Privilege While Assuring the Effectiveness of Risk Management and Corporate Compliance Activities," Edison Electric Institute, Spring Legal Conference, Scottsdale, Arizona, March 2004
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