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Desktop Image: Howard, Robert
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Robert P. Howard Jr.

Partner

T 202.661.7015 Washington, D.C.
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Bob represents financial services firms, public companies, and individuals in regulatory examinations, investigations, and litigation initiated by the Securities and Exchange Commission, FINRA, and other federal and state securities regulators. He also represents clients in civil litigation and arbitration involving the securities laws.

Bob counsels broker-dealers and investment advisors regarding compliance system design and review, regulatory registration, transactional disclosure, and customer privacy. He also advises a range of firms in the financial sector on compliance and regulatory risk management.

Practice Highlights

Enforcement defense

For over two decades, Bob has represented clients in investigations and actions by state and federal securities regulators.

Regulatory matters

Bob has extensive experience representing broker-dealers and investment advisors concerning compliance with state and federal regulations and responding to regulatory examination requests.

Compliance

Bob works closely with compliance officers and their staff to design and implement supervisory systems compliant with state and federal regulations.

Enforcement defense*

Representing CEO of public company in SEC investigation concerning accounting and disclosure issues in conjunction with SEC's EPS Initiative.

Enforcement defense*

Representing bank holding company in SEC investigation concerning employee stock grant program.

Enforcement defense*

Obtaining closing letter for bank holding company ending SEC investigation concerning accounting and disclosure issues in conjunction with SEC's EPS Initiative.

Enforcement defense*

Representing family office in SEC investigation concerning convertible promissory notes and dealer registration issues.

Enforcement defense*

Representing consortium of investment advisers in SEC investigation of corporate bond sales practices.
*Denotes an attorney's experience prior to joining Davis Wright Tremaine
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Admitted to Practice

  • District of Columbia, 1997
  • Virginia, 1996
  • U.S. Supreme Court
  • U.S. Court of Appeals, 4th Circuit
  • U.S. Court of Appeals, D.C. Circuit
  • U.S. District Court, District of Columbia
  • U.S. District Court, Eastern District of Virginia
  • U.S. District Court, Western District of Virginia

Education

  • J.D., University of Virginia School of Law, 1996
  • B.A., University of Pittsburgh, 1987

Memberships & Affiliations

  • District of Columbia Bar


    Virginia Bar Association


    SIFMA Compliance & Legal Society

Professional Recognition

    • Selected to "Washington, D.C. Super Lawyers" in Securities, Thomson Reuters, 2016-2020
    • Awarded "AV Preeminent Rating" by the Martindale-Hubbell Law Directory, 2011-present
    • Named to "Capital Pro Bono Honor Roll" by the D.C. Court of Appeals and the D.C. Superior Court, 2023
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03.24.25
Presentations
Panelist, "Who is your new audience at the SEC and FINRA?," SIFMA's C&L Annual Seminar
gavel on book
12.23.24
Insights
5th Circuit Again Adopts Restrictive View of Exchange Act Purposes and SEC Regulatory Power Read More
calculator and financial data sheet
10.07.24
Insights
What To Know About FinCEN's Investment Adviser AML Program Final Rule Read More
digital numbers
08.15.24
Insights
General
Is the FDIC's Proposed Rulemaking on Brokered Deposit Restrictions a Solution in Search of a Problem? Read More
Marble court columns
07.31.24
Insights
Regulatory and Compliance
Prospects for Prominent Short-Seller and Social Media Publisher Take a Left Turn Read More
Marble steps and columns
07.15.24
Insights
The Administrative State After Jarkesy, Loper Bright, and Corner Post – Context and Consequences Read More
ffcra-new-york-district-court-decision
07.08.24
Insights
Regulatory Compliance/Federal Agencies Resources
SEC v. Jarkesy: Supreme Court Delivers Significant Blow to SEC Intra-Agency Enforcement Read More
Court columns
07.02.24
Insights
Communications Regulatory
How Might Agencies and Courts React After Supreme Court Upends 40 Years of Chevron Deference? Read More
Money and calculators
05.06.24
Advisories
Financial Services
Labor Department Finalizes Investment Advice Fiduciary Rule Under ERISA Read More
03.17.24
Presentations
Panelist, "Simultaneous Challenges for Financial Market Regulators - Separation of Powers, Administrative Law Standard and the Congressional Review Act," SIFMA's C&L Annual Seminar, Orlando, Fla.
digits
05.05.23
Insights
SEC Adopts Proposals to Enhance Share Repurchase Disclosures and Private Fund Reporting Read More
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