SEC
Whistleblower
Advocates

Timothy L. Warren

Partner

twarren@labaton.com
C: (312) 450-6647
O: (312) 450-6647

With over three decades of SEC enforcement experience, Tim Warren is a tenacious champion of SEC whistleblowers, victims of financial fraud and the investing public. For nearly 20 years, he served as an Associate Director of Enforcement in the SEC’s Division of Enforcement, and twice served as an Acting Regional Director, overseeing all examination and enforcement personnel in the Chicago Regional Office. As an Associate Director, he led a team of more than 40 attorneys and professionals in every phase of investigation involving a wide range of securities violations. Over the years, Tim gained exceptional insight about all aspects of SEC investigations and litigation, experience he calls upon to guide his whistleblower clients through every stage of the reporting process.

At the SEC, Tim successfully investigated, prosecuted and supervised hundreds of significant cases, against some of the largest companies in the country. His creative and high-impact enforcement actions included charges brought against Bristol-Myers Squibb for perpetrating a fraudulent earnings management scheme and an enforcement action brought against Hollinger International’s former chairman and CEO, former deputy chairman and COO, and Hollinger Inc., a Canadian public holding company, for diverting cash and assets from Hollinger International and concealing the self-dealing from Hollinger International’s shareholders.

In addition to his front-line enforcement work, Tim also played a leadership role in international enforcement training on behalf of the SEC’s Office of International Affairs to strengthen partnerships and educate international law enforcement and regulatory authorities. From 2003 to 2017, Tim worked with hundreds of securities regulators around the world, delivering lectures and workshops on the best practices for investigating and prosecuting securities law violations. His international public advocacy work involved dozens of on-site training programs in Bahrain, Kenya, India, Indonesia, Malaysia, Romania, Saudi Arabia, South Korea, Turkey, the UAE and Vietnam.

Tim is a graduate of Stanford University and Loyola University of Chicago School of Law.

Honors

During his tenure in the Enforcement Division of the SEC, on two occasions, Tim received the Chairman’s Award of Excellence. He also was honored with the Irving Pollack Award. This extraordinary award recognizes an individual whose performance at the SEC is marked by fairness and compassion in dealings with the public and staff, scholarship and professional expertise in execution of their legal duties, and adherence to the highest standards of personal and professional integrity.

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