Michael J. Rinaldi is a partner with Duane Morris where he practices in the area of litigation with a focus on white-collar criminal defense, regulatory investigations, and complex business litigation. Mr. Rinaldi routinely represents businesses, institutions, and individuals in matters involving the U.S. Department of Justice, the U.S. Securities and Exchange Commission, and other federal and state criminal and regulatory agencies. His practice includes defending clients in SEC investigations, civil enforcement actions, and administrative proceedings. He also represents a wide range of businesses and individuals in criminal and regulatory inquiries and counsels clients on matters involving the securities laws, international sanctions, anti–money laundering (AML) rules, cryptocurrency and digital assets, and professional conduct regulations. He leads internal investigations into alleged employee or executive misconduct. Before joining Duane Morris, Mr. Rinaldi served as Deputy Chief of the Economic Crimes Unit of the U.S. Attorney’s Office for the Eastern District of Pennsylvania. In that position, Mr. Rinaldi investigated, prosecuted, and supervised the investigation and prosecution of financial crimes, including securities fraud, bank fraud, intellectual property crimes, and money laundering. He litigated all stages of criminal prosecutions, including through trial. Mr. Rinaldi also managed relationships with regulatory agencies, including the U.S. Securities and Exchange Commission, the Pennsylvania Department of Banking and Securities, and the Financial Industry Regulatory Authority. Prior to his service at the U.S. Attorney’s Office, Mr. Rinaldi served as a trial attorney in the Securities and Financial Fraud Unit of the Fraud Section of the Criminal Division of the U.S. Department of Justice, investigating and litigating matters related to securities fraud, commodities fraud, procurement fraud, and insider trading. Before his work for the U.S. Department of Justice, Mr. Rinaldi was senior trial counsel at the U.S. Securities and Exchange Commission. Mr. Rinaldi received his law degree from the University of Pennsylvania Law School and his undergraduate degree from Villanova University. He began his career by clerking for the Honorable Leo E. Strine, Jr., of the Delaware Court of Chancery. Mr. Rinaldi is a lecturer in law at the University of Pennsylvania Law School. Previously, Mr. Rinaldi served as an elected School Director in the Wallingford-Swarthmore School District, in Delaware County, Pennsylvania, and was appointed Treasurer of the School District.

Kelly Gibson is the co-leader of the firm’s securities enforcement practice and the firm’s ESG and sustainability advisory practice. She previously held numerous national and regional leadership roles at the US Securities and Exchange Commission (SEC), including serving as the acting deputy director of the Division of Enforcement, as leader of the Enforcement Division’s nationwide Climate and Environmental, Social, and Governance (ESG) Task Force, and as director of the SEC’s Philadelphia Regional Office. Kelly advises and defends public companies, financial services clients, and their executives in SEC, self-regulatory organization (SRO), and state enforcement matters, and in internal investigations. Leveraging her government and private practice experience, Kelly works in collaboration with the firm’s corporate and business transactions, investment management, white collar defense, and labor and employment practices to advise clients on regulatory and litigation matters. She also uses her broad ESG enforcement and policy experience to counsel public companies and registrants as they develop proactive ESG strategies, create investment products, consider disclosure requirements, and identify investment opportunities.

Nick Grippo is the Regional Director of the Philadelphia Regional Office of the U.S. Securities and Exchange Commission.  Prior to joining the SEC in September 2022, Nick was an Assistant United States Attorney in the District of New Jersey, where he served as the Chief of the Criminal Division. Before becoming Criminal Chief, Nick served as Deputy Chief of the Criminal Division, the Attorney in Charge of the Trenton Branch Office, and worked in the Economic Crimes Unit handling securities fraud cases and other white collar matters.  Prior to joining the U.S. Attorney’s Office in 2012, Nick worked in the litigation department of a large New Jersey based law firm and clerked for a New Jersey appellate judge.  Nick received his law degree from Rutgers Law School. 

Mary P. Hansen is a partner with Duane Morris and the Co-Chair of its White Collar Criminal Defense, Corporate Investigation and Regulatory Compliance Practice Group. She defends clients in connection with investigations and litigation involving state and federal financial regulatory agencies, including the SEC, the Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA) and the Department of Justice (DOJ). Ms. Hansen counsels investment advisers, broker-dealers, financial services industry clients, and public and private companies in federal and state regulatory investigations and leads internal corporate investigations involving potential violations of federal securities law and other executive or employee misconduct. She also counsels clients with respect to compliance policies, procedures and strategies. Ms. Hansen previously served as supervisor in the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement. Prior to entering private practice, she served as law clerk to the Hon. Raymond J. Dearie of the U.S. District Court for the Eastern District of New York. Ms. Hansen is a 1998 magna cum laude graduate of St. John’s University School of Law, where she was a member of the American Bankruptcy Institute Law Review, and a graduate of the State University of New York at Albany. She is admitted to practice in Pennsylvania, Vermont, New York, and New Jersey. She is a member of the Irish American Business Chamber & Network (Membership Committee) and the Women’s White Collar Defense Association (Sponsorship Committee). She is listed in Chambers USA: America’s Leading Lawyers for Business, 2021 and 2022, and has been listed in Pennsylvania Super Lawyers, 2017-2021.

Ms. Recker is a Partner at Welsh & Recker PC in Philadelphia. She has more than 30 years of experience representing individuals and corporations in criminal investigations, trials, appeals and in other government enforcement and regulatory matters. Her practice reflects a wide range of law enforcement focus on business crimes including securities fraud, tax violations, political corruption, trade and embargo violations, antitrust violations, financial fraud, Food Drug and Cosmetic Act and False Claims Act violations. She has successfully persuaded prosecutors to decline action against corporate executives, publicly-traded companies as well as small business owners. She is a Regent in the American College of Trial Lawyers and a Fellow in the International Academy of Trial Lawyers. Chambers USA notes that Ms. Recker receives praise for her representation of both corporations and individuals in white-collar cases and criminal investigations, with sources describing her as a “very hard-charging lawyer who is very passionate for her clients.”

Mr. Dubow is a partner with Troutman Pepper Locke LLP, resident in the Philadelphia office. He is a member of the firm’s White Collar Litigation and Investigations Practice Group and co-chair of its Securities Investigations + Enforcement Practice Group. Mr. Dubow focuses his practice on complex business litigation, with a special emphasis on defending against derivative and securities class action litigation and representing clients involved in investigations by the U.S. Securities and Exchange Commission, the Pennsylvania Department of Banking and Securities and various self-regulatory organizations, including stock exchanges and the Financial Industry Regulatory Authority, Inc. He also conducts internal investigations on behalf of clients. He previously served as senior vice president, general counsel and chief administrative officer of Advanta Corp. He began his career as a staff attorney and then branch chief in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C. Active in local and national bar associations, Mr. Dubow is a leader in the American Bar Associations Business Law Section and currently serves as vice chair of its Business and Corporate Litigation Committee. He is admitted to practice in Pennsylvania and the District of Columbia. Mr. Dubow received his B.S., magna cum laude, from the Wharton School of the University of Pennsylvania and his J.D. from the University of Pennsylvania Law School. 

Richard Levan is a partner with Dailey LLP. He has substantial experience in the Securities and White Collar Enforcement fields, having previously served as Chief Litigation Counsel at the U.S. Securities and Exchange Commission’s Philadelphia Office and as an Assistant U.S. Attorney in the U.S. Department of Justice in Washington, D.C. Richard is currently co-chair of the Securities Regulation Committee of the Philadelphia Bar Association. He is former Chair of the American Bar Association’s Financial Services Integration Committee, a national group addressing the unique compliance and regulatory issues confronting banks, securities firms, and insurance companies today. He has also served as a member of the Editorial Advisory Board of Securities Law360 and the Pennsylvania Securities Commission’s Attorney Advisory Board. Richard has over forty years of experience defending civil and criminal cases initiated by the U.S. Department of Justice, the U.S. Securities and Exchange Commission, the PCAOB, state securities and insurance agencies and self-regulatory organizations such as FINRA. A seasoned trial attorney, Richard has tried over 60 cases to verdict. His extensive experience, judgment and tenacity make him a formidable advocate. Richard writes frequently on matters affecting the securities industry and has been quoted in many publications, including The Wall Street Journal, The American Banker, Business Week, Bloomberg News, Smart Money, IA Week, The National Law Journal and Dow Jones News Service. He has also appeared on CNN and NBC Nightly News. Richard has served as a featured speaker at national compliance and regulatory conferences sponsored by such organizations as the National Society of Compliance Professionals, National Regulatory Services, American Bar Association, Society of Financial Service Professionals, NASD/Wharton Institute, Pennsylvania Bar Institute and Investment Adviser Week. Richard has been listed in Pennsylvania Super Lawyers in the field of securities litigation since 2010. Richard also holds an AV rating, the highest rating awarded by Martindale-Hubbell. He is a graduate of the George Washington University, J.D., and the University of Pennsylvania, B.A. He is admitted to practice in Pennsylvania and New York.