Wed, Feb 7, 2018

Ken C. Joseph, Former Head of the SEC’s Investment Management Examination Program in New York/New Jersey, Joins Duff & Phelps

NEW YORK – Duff & Phelps, the premier global valuation and corporate finance advisor, today announced that Ken C. Joseph, former Head of the Securities and Exchange Commission’s New York Regional Office Investment Management Examination Program, has joined the firm as a managing director in the Disputes and Investigations practice. Based in New York, Joseph will focus on helping clients navigate a broad spectrum of threats arising from investigations, compliance examinations, litigation and crisis scenarios. Joseph joins Duff & Phelps’ integrated, global team of compliance, investigations and disputes experts, including former regulators, international intelligence specialists and compliance officers, who regularly advise financial services executives and their firms on risk management strategies, corporate governance best practices, and regulatory response.

Joseph brings a wealth of front-line experience and expertise in U.S. securities law and compliance, having served for over 21 years at the SEC in the Division of Enforcement and, most recently as a senior officer in the National Exam Program. Immediately before joining Duff & Phelps, Joseph led a specialized team of over 130 examiners, accountants, attorneys and other professionals with responsibility for regulatory compliance examinations of over 2,800 New York/New Jersey-area registered investment advisers and investment companies who collectively manage almost $19 trillion in assets. Prior to leading the regulatory compliance team, Joseph served for 16 years in the Division of Enforcement in both Washington, DC and New York, where he supervised, investigated and resolved numerous complex and high-profile cases involving market participants and public and private companies. Joseph has investigated and/or supervised enforcement and regulatory compliance matters involving: financial, accounting and disclosure fraud; breach of fiduciary duties; asset managers (including hedge funds, private equity, mutual funds and business development companies); broker-dealers; cybersecurity; illegal trading and market manipulation; securities offerings; ponzi schemes; special purpose vehicles; auditor misconduct; self-regulatory organizations and transfer agents, among others. He also served as one of the inaugural Assistant Directors of the Asset Management Unit, a specialized team formed by the SEC in the wake of the 2008 financial crisis, where he conducted numerous parallel investigations with the state, federal, and international authorities, and obtained over $1 billion in monetary relief from alleged violators. In addition, Joseph served on several National Exam Program Governance Committees, including the Executive Committee and Risk and Exam Process Committee, and on the Risk Analytics Committee, where he helped to develop technology solutions to improve analytical capabilities and efficiency.

Carl Jenkins, Managing Director and Global Leader of the Disputes and Investigations Practice at Duff & Phelps, commented, “Ken’s distinguished, 21-year enforcement and compliance career at the SEC affirms his unique knowledge of regulatory policies, investigative processes and global best practices. His proven expertise will aid our clients across the full range of complex transactions and investment activities. We welcome him to the firm and look forward to his many contributions in the years ahead.”

 “I am delighted to join Duff & Phelps, a firm with an exceptional reputation and record of providing excellent and comprehensive service to clients,” said Ken. “I look forward to adding depth and expertise to the team, with a singular focus on helping the firm’s clients strengthen their compliance defenses and navigate the complexities of regulatory encounters and governance matters.” 

Joseph is a frequent speaker at industry panels on matters relating to SEC enforcement and securities law compliance and has represented the SEC on several foreign technical assistance missions. Joseph earned his B.S., MBA, and post-graduate degrees in Marketing Management and International Finance from St. John’s University, New York, and his J.D. from the University of North Carolina at Chapel Hill School of Law. He has also completed executive education programs at Georgetown University Law Center (through the SEC) in Securities and Financial Regulation, and at Harvard University’s John F. Kennedy School of Government in Strategic Management of Regulatory and Enforcement Agencies. Joseph is admitted to practice law in the U.S. District Court for the Southern and Eastern Districts of New York, as well as the States of New York and Connecticut.  

About Duff & Phelps
Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, disputes and investigations, M&A, real estate, restructuring, and compliance and regulatory consulting. The firm’s more than 2,000 employees serve a diverse range of clients from offices around the world. For more information, visit

M&A advisory, capital raising and secondary market advisory services in the United States are provided by Duff & Phelps Securities, LLC. Member FINRA/SIPC. Pagemill Partners is a Division of Duff & Phelps Securities, LLC. M&A advisory and capital raising services in Canada are provided by Duff & Phelps Securities Canada Ltd., a registered Exempt Market Dealer. M&A advisory, capital raising and secondary market advisory services in the United Kingdom and across Europe are provided by Duff & Phelps Securities Ltd. (DPSL), which is authorized and regulated by the Financial Conduct Authority. In Germany M&A advisory and capital raising services are also provided by Duff & Phelps GmbH, which is a Tied Agent of DPSL. Valuation Advisory Services in India are provided by Duff & Phelps India Private Limited under a category 1 merchant banker license issued by the Securities and Exchange Board of India.

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