White Collar & Securities

A former SEC Enforcement Attorney, Paul Helms manages risk associated with complex securities issues. He defends clients facing SEC and government inquiries, conducts internal investigations and handles securities litigation. In particular, Paul developed substantial experience in matters involving investment advisers, mutual funds and private funds, in part through his training as a Chartered Alternative Investment Analyst (CAIA).

Paul spent seven years in the SEC Enforcement Division, working in the specialized Market Abuse and Asset Management Units. At the Commission, Paul investigated and brought actions involving accounting and disclosures, auditor and attorney negligence, regulatory compliance, offering fraud, market manipulation and insider trading. He also gained perspective on national and regional enforcement policy, serving as Counsel to the Director of Enforcement in Washington, DC and assisting the Chicago Regional Director with management issues.

Before and after government service, Paul handled government and internal investigations, securities class actions and derivative actions. Through his work, he counseled nationally recognized public issuers, investment advisers, broker-dealers, audit firms and nonprofit organizations, as well as the officers and directors who manage those firms. He began his career clerking for the Honorable James H. Michael, Jr. in the Western District of Virginia.

While in law school, Paul served as Editor-in-Chief of the Vanderbilt Law Review and participated in the Law and Business Program. He is a Certified Fraud Examiner (CFE).