David Peavler is a former senior officer and enforcement attorney at the U.S. Securities and Exchange Commission (SEC). He defends companies and individuals involved in SEC investigations and prosecutions and counsels clients on a wide range of compliance, internal controls, and transactional issues touching on the federal securities laws. David also provides unique insights on public reporting, corporate governance, and financial services industry regulation, having served as general counsel for a registered broker-dealer and investment adviser and as in-house disclosure counsel for a major energy company.
David served nearly 10 years as regional director and head of enforcement for the SEC office covering much of the Southwest United States. During his 19 years with the SEC, David led hundreds of investigations and enforcement actions covering every facet of the SEC's jurisdiction, ranging from corporate accounting and disclosures, auditor failures, and Foreign Corrupt Practices Act (FCPA) violations to cryptocurrency schemes, insider trading, and broker-dealer and investment adviser wrongdoing. David has broad experience with SEC issues impacting the energy industry, having led the SEC regional office covering Texas and Oklahoma and brought many of the agency's most significant energy industry reporting and disclosure cases.
Before joining the SEC, David was a partner in the trial section of another law firm, primarily representing major accounting firms in SEC investigations, auditing malpractice litigation, and securities class actions.
Experience
Additional Speaking Engagements
- November 2024
November 2024: SIFMA C&L Society Forum – A Conversation with Former SEC Regional Directors - November 2024
November 2024: Securities Enforcement Forum D.C. – The SEC’s Rule in Cybersecurity – Rulemaking, Enforcement, and Coordination with the DOJ and Other Regulators - September 2024
Securities Enforcement Forum Central: SEC Practice – Developments in Administrative Proceedings, Trials, Testimony, Wells Process, Settlements and More - September 2024
Tenth Annual University of Texas Government Enforcement Institute: SEC Hot Topics and Recent Updates - September 2024
Workiva Amplify Annual Conference: It’s Getting Hot in Here: How Your Board and Executives are Navigating Current Challenges - May 2024
Third Annual Federalist Society In-House Counsel Network Conference: The Current State of Financial Services Enforcement: Trends and Takeaways from Recent Cases and Initiatives by the DOJ, SEC and other U.S. Enforcement Agencies - April 2024
Workiva “Off The Books” Podcast: Ask a Former SEC Regional Director Anything - December 2023
Center for Professional Ethics SEC Virtual Conference: SEC Enforcement Priorities and Best Practices for Dealing with Corporate Ethics and Compliance Risks - December 2023
The Conference Board Chief Legal Officers Conference: Navigating the Regulatory Minefield: What Every CLO Should Know About the SEC’s Latest Rulemaking and Enforcement - November 2023
Ernst & Young CCO Network: SEC Enforcement Risks for Compliance Professionals - October 2023
Securities Enforcement Forum 2023: The Impact of Whistleblowers on Corporations and SEC Enforcement - September 2023
University of Texas Government Enforcement Institute: SEC Developments and Current Priorities - September 2023
Securities Enforcement Forum Central 2023: The Impact of Whistleblowers on Internal Investigations and SEC Enforcement - August 2023
Center for Professional Ethics SEC Virtual Conference: SEC Enforcement Priorities - June 2023
Sandpiper Partners, Hot Topics in SEC and DOJ Enforcement and Litigation - May 2023
Center for Professional Education SEC Virtual Conference: Best Practices for Dealing with Corporate Ethics & Compliance Risks - March 2023
The SEC Professionals Group First Quarter National Meeting: SEC Rulemaking and Enforcement Update - March 2023
SIFMA C&L Conference: Dealing with (and How Not to Deal with) Whistleblowers
- The University of Texas at Austin (J.D. with honors 1992; Assistant Editor, The Texas Law Review); Baylor University (B.B.A in Accounting 1989)
- Texas, District of Columbia, and U.S. District Courts for the Northern and Southern Districts of Texas
- Served with the U.S. Securities and Exchange Commission in the Fort Worth Regional Office in the following positions: Regional Director (2019-2022), Enforcement Associate Director (2011-2017), Enforcement Assistant Director (2006-2011), Enforcement Branch Chief (2003-2005), and Enforcement Staff Attorney (2000-2001 and 2002-2003)
SEC's Irving M. Pollack Award (2016) and Arthur F. Mathews Award (2005)