David Peavler has deep experience in U.S. Securities and Exchange Commission (SEC) investigations and prosecutions, having served as Regional Director and Associate Director for Enforcement. He also provides unique insights on financial services industry regulation, public reporting, and corporate governance, having served as general counsel for a registered broker-dealer and investment adviser and as in-house counsel for a major energy company.
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.
Speaking Engagements
- 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)