Kimberly B. Frumkin
PEOPLE

Kimberly B. Frumkin

Associate
frumkin.kimberly@dorsey.com

Overview

KIM’S PRACTICE FOCUSES ON SERVICING THE FINANCIAL INDUSTRY, FROM ADVISING ON REGULATORY AND STRUCTURING CONSIDERATIONS, TO DEFENDING INDIVIDUALS AND ENTITIES FACING SCRUTINY BY THE REGULATING AGENCIES.
Kim has experience working with clients as they navigate the SEC’s and CFTC’s regulatory requirements as well as defending clients who find themselves in the financial agencies’ crosshairs. Her experience working in both roles affords her unique insight into how to best and most efficiently advise clients. She has helped advise both domestic and foreign clients comply with U.S. securities regulations and also has experience drafting and reviewing companies’ compliance policies. Specifically, Kim has experience working with investment advisers, broker-dealers, commodity trading advisers, private funds, and investors. Kim has also helped defend clients facing scrutiny by, and engaged in litigation with, the SEC, CFTC, CFPB, and DOJ.

Education & Admissions

University of Virginia School of Law (J.D., 2012)

Oberlin College (B.A., 2007)

Admissions

  • New York
  • District of Columbia

U.S. District Court for the District of Columbia

Experience

Representative Work

  • Represented individuals and companies being investigated or sued by the SEC and CFTC
  • Represented companies being investigated by the FTC and SEC post data breach

News & Resources

Articles

Dorsey Anti-Corruption Digest - October 2018
Digital Assets a Focus Point for Regulators
Recent Enforcement Provides Guidance on Internal Controls and Disclosure for Quant Managers
Dorsey Anti-Corruption Digest - September 2018
Dorsey Anti-Corruption Digest - August 2018
Dorsey Anti-Corruption Digest - July 2018
Dorsey Anti-Corruption Digest - June 2018
Co-author, "Practical Compliance Considerations for Cross Border Marketing," The National Society of Compliance Professionals Currents
Dorsey Anti-Corruption Digest - May 2018
Dorsey Anti-Corruption Digest - April 2018
Dorsey Anti-Corruption Digest - March 2018
Dorsey Anti-Corruption Digest - February 2018
Dorsey Anti-Corruption Digest - January 2018
Dorsey Anti-Corruption Digest - December 2017
Dorsey Anti-Corruption Digest - November 2017
Lessons From the Market Place: The Importance of Compliance
Dorsey Anti-Corruption Digest - October 2017
Dorsey Anti-Corruption Digest - September 2017
SEC’s Latest Cybersecurity Risk Alert Identifies Elements of Robust Policies and Procedures
Dorsey Anti-Corruption Digest - August 2017
Dorsey Anti-Corruption Digest - July 2017
Dorsey Anti-Corruption Digest - June 2017
Dorsey Anti-Corruption Digest - May 2017

News & Press Mentions

Dorsey Attorneys Thomas Gorman, Kimberly Frumkin and Kent Schmidt Recognized in 2018 Readers’ Choice Awards

Legal Writings

  • Co-author of two chapters in Cybersecurity PLI: A Practical Legal Guide to Managing Cyber Risk

Industries & Practices

Government Enforcement & Corporate Investigations
Securities & Financial Services Litigation & Enforcement
  • Anti-Corruption Group
  • Government Enforcement & Corporate Investigations
  • Investment Management
  • Securities & Financial Services Litigation & Enforcement

Accolades

JD Supra Readers' Choice Top Author 2018
  • Named Top Author in JD Supra Readers’ Choice Awards 2018
Kimberly B. Frumkin