OVERVIEW

Ning He

Of Counsel

Chicago

One N. Wacker Drive
Suite 4400
Chicago, IL 60606-2833

F 312-759-5646

Ning He represents public companies, their officers, directors, and board committees, as well as financial industry clients and those providing services to those businesses, in connection with regulatory enforcement investigations and examinations and litigation disputes.

OVERVIEW
EXPERIENCE
Experience
INSIGHTS AND EVENTS

OVERVIEW

With nearly a decade in private practice, Ning has deep experience in a fast-paced, deadline-oriented environment.

Ning conducts internal investigations and defends executives and directors in matters including whistleblower-related concerns, conflicts of interest, disclosure issues, accounting and financial reporting issues, securities offerings, trading/market abuse, and arising issues concerning novel products.

Prior to joining the firm, Ning was an associate at an Am Law 10 firm. While in law school, she gained experience as an intern at the U.S. Securities and Exchange Commission (SEC) and as an extern at Financial Industry Regulatory Authority (FINRA).

EDUCATION

Washington University in St. Louis School of Law, J.D., 2015, Order of Barristers

Franklin and Marshall College, B.A., government and sociology, magna cum laude, 2012, Phi Beta Kappa

Bar Admissions

Illinois

New York

Court Admissions

U.S. District Court for the Northern District of Illinois

Languages

English
Practices

Financial Institutions

Litigation

White Collar and Investigations

EXPERIENCE

Experience

Represented an asset management company successfully in an US Securities and Exchange Commission (SEC) investigation involving issues including alleged self-dealing, executive compensation, and claims of misrepresentation and omission raised by a whistleblower. Received a close of investigation letter with no further action against the company.*
Represented a former executive of a publicly held retail company successfully in an SEC investigation involving the alleged failure to disclose related party transactions and other improper accounting practice and received a close of investigation letter with no further action*
Represented a clearing firm and firm executives in an SEC investigation regarding the firm’s securities lending practices and obtained favorable settlement terms with no charges against individuals and in low monetary amount*
Represented multiple investment advisory firms in related SEC investigations regarding certain practices related to the proper disclosure on conflict of interest and fees; obtained favorable settlement terms with no charges against individuals and in low monetary amount*
Represented a fintech company in SEC and FINRA inquiries related to the use of social media and other marketing practices*
Represented an executive of a publicly traded pharmaceutical company in an SEC investigation regarding the firm’s accounting practices*
Represented the Demand Review Committee of a food and beverage company in response to a shareholder demand request regarding executive compensation*
Conducted an internal investigation for a publicly traded ecommerce marketplace company in an internal investigation regarding its data gathering and key performance indicator metrics*
Conducted an internal investigation for a publicly traded food and beverages company in an internal investigation regarding financial reporting and accounting practices*
Represented a journalist in his asylum proceedings and obtained asylee status*

*These matters occurred prior to joining Barnes & Thornburg.

INSIGHTS AND EVENTS

News

Barnes & Thornburg Welcomes New Attorneys and Legal Professionals

October 3, 2024