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“Keri is someone you want on your side when the government falsely accuses you of illegal activity. She convinced the government I was innocent and to unfreeze my bank accounts. I will be forever grateful.”

Former client in criminal investigation

“Keri really cared about my situation and helped me get through it. And most of all she achieved the best possible outcome for my case!”

Former client in criminal investigation

Keri Curtis Axel
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Keri Curtis Axel is a trial and appellate lawyer who practices white-collar criminal and government enforcement defense, as well as complex civil litigation.

A former Assistant U.S. Attorney and former SEC enforcement staff attorney, Keri draws on her considerable government experience to help her clients navigate investigations and fight criminal charges around the country. Keri represents individuals and companies in investigations by state and federal agencies, including the DOJ, SEC, CFPB, FTC, and the California Attorney General.

She has defended clients in investigations involving allegations of securities, tax, money laundering, and consumer finance violations, and in public corruption matters. Keri also has substantial experience in cross-border criminal investigations, and in immigration and procurement fraud matters.

Keri also represents executives, entrepreneurs, and financial services professionals and companies in FINRA matters and civil litigation, where she draws on her extensive experience in tax, accounting, and the securities industry.

Keri is a first-chair trial lawyer and has successfully litigated and argued many Ninth Circuit Appeals. A graduate of Harvard Law School, Keri is also sought after by the media to provide commentary and perspective on complex criminal and regulatory investigations.

Representative Engagements

Fintech

  • Obtained declination in SEC investigation of blockchain company regarding initial sale of digital tokens.
  • Represented blockchain project founder in SEC investigation that resulted in no charges.
  • Represented blockchain company and founder/developer in multiple mediations to settle disputes with former founders regarding token allocations.
  • Represented Ethereum researcher Virgil Griffith in SDNY criminal prosecution asserting sanctions violations.

Financial Services

  • Represented Registered Investment Advisor in two civil lawsuits and an arbitration filed by a pension fund alleging breach of fiduciary duty regarding investment decisions and reached settlement.
  • Represented individual sued in FINRA arbitration by large broker- dealer for alleged violations of trading agreement.
  • Represent hedge fund in FINRA arbitration against its prime broker.

Regulatory Enforcement

  • Obtained declination from CFPB in investigation involving mortgage relief services.
  • Represented employees in student debt relief investigation by the CFPB, responding to Civil Investigation Demand (“CID”) and litigating against the CFPB.
  • Represent former employee of toner supply business in FTC civil contempt action.
  • As SEC attorney, investigated financial reporting and disclosure violations by Fortune 500 technology company in quarterly and annual reports and brought and litigated enforcement complaint against company and its CEO, CFO and Controller.

Criminal

  • Represent former MLB player Yasiel Puig in Criminal case alleging false statements.
  • Represented grand jury target in district court and Ninth Circuit litigation of complex attorney-client privilege issues. In re Grand Jury, 23 F.4th 1088 (9th Cir. 2021).
  • Represented health care executive in SEC investigation and criminal matter in which he was charged with distribution of off-label drugs.
  • Have represented many companies and individuals in criminal investigations, producing documents and representing clients in interviews and proffers.
  • Obtained declination by the U.S. Attorney’s Office for the Southern District of California in matter in which client was accused of cross-border structuring as part of an alleged unlicensed money remission scheme involving Bitcoin.
  • Negotiated civil resolution of FBI asset forfeiture investigation involving allegations of wire fraud/unlicensed money transmission, and client was not criminally charged.
  • As AUSA, tried complex securities and tax case involving embezzlement and securities fraud by President of SEC-registered broker-dealer.


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In 2021, Baker Marquart became Waymaker. Information on this website reflects results obtained by Baker Marquart. Please click here to learn more about our name change.