Partner

kevin.woods@whiteandwoods.com
Tel: 415-231-5711 | San Francisco, California
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Kevin has extensive experience litigating cases in federal and state courts and in various arbitration forums, including FINRA, AAA, and JAMS. His practice focuses on securities litigation, securities enforcement defense, and general business litigation. He defends brokerage firms and their registered representatives against private client claims alleging sales practice and other violations. He provides securities enforcement defense before the SEC, Department of Justice, FINRA, and state securities regulators for members of the financial services industry, public companies, and officers and directors. Kevin also conducts internal corporate investigations. He represents clients in general business litigation matters, including breach of contract disputes, claims of unfair business practices, breach of fiduciary duty claims, and employment matters.

Prior to co-founding White & Woods, Kevin was senior counsel at Bingham McCutchen LLP, where he was a member of its Broker-Dealer Group.  Kevin also served for five years as an assistant district attorney in the Manhattan District Attorney’s Office where he tried more than 20 jury trials to verdict, including cases involving murder, attempted murder, armed robbery, fraud and narcotics trafficking.  Prior to practicing law, Kevin served as an infantry officer with the U.S. Army and graduated from the U.S. Army Airborne and Ranger Schools.

Representative Matters

• Represented broker-dealers in enforcement proceedings and in institutional client litigation regarding auction rate securities
• Represented hedge fund and its principals in settlement of SEC investigation of alleged Regulation M Rule 105 short sale violations
• Represented broker-dealer and large money manager in litigation involving structured investment vehicles
• Represented company and chairman of the board of directors in a SEC insider trading investigation, which closed without action
• Conducted internal investigation for broker-dealer concerning potential customer privacy violations
• Conducted internal investigation for company concerning potential insider trading violations
• Represented regional investment bank in FINRA investigation of independence of research department from firm’s investment banking activities
• Represented a leading securities clearing firm in a criminal investigation conducted by the Manhattan District Attorney’s Office
• Represented hedge fund in a California Department of Corporations investigation and hearing regarding claims of fraud
• Represented large broker-dealer in nationwide investigation involving the firm’s supervisory procedures
• Represented financial adviser in “selling away” case involving hedge fund investments
• Represented company against wrongful death lawsuit involving an industrial incident that resulted in two fatalities; obtained complete dismissal of all claims; and represented company in parallel investigations conducted by the California Attorney General’s Office and local District Attorney’s Office

Admissions

• Admitted to practice in California and New York, and in the United States District Courts for the Central, Eastern, and Northern Districts of California

Education

• State University of New York at Buffalo Law School, Juris Doctor
  • Recipient Robert J. Connelly Best Trial Technique Performance Award
  • Moot Court Board Member, recipient Third Best Oralist Award
• Canisius College, Bachelor of Arts