SEC Trial Counsel Mark Fickes Joins BraunHagey

Securities and Exchange Commission Senior Trial Counsel Mark P. Fickes, who has prosecuted high profile securities enforcement actions, has joined BraunHagey as a partner in the law firm’s San Francisco office. 

At the SEC, Fickes served as lead attorney in the options backdating trial against Maxim’s former CFO. He also served as lead attorney in the SEC’s option backdating prosecutions of the general counsel of Apple and the CEO of KLA-Tencor.
 
Fickes prosecuted Sunwest Management, the largest financial fraud case ever brought by the SEC’s San Francisco Regional Office. He also has led trials and investigations into insider trading, market manipulation, research analyst collusion financial fraud and Ponzi schemes and worked on numerous investigations of hedge funds and private equity funds. He has been awarded the SEC’s Division of Enforcement Director’s Award for Outstanding Contribution several times.
 
Fickes has been lead trial counsel on over 60 state and federal jury trials. He joins BraunHagey directly from the SEC, where he has worked for the last seven years.
 
Fickes is the fifth attorney to join BraunHagey. 
 
Prior to his tenure at SEC, Fickes worked in private practice at Glynn & Finley LLP, and at Wilson Sonsini. He handled a wide variety of commercial, product defect and complex litigation at these firms.
 
Previously, Fickes served for four years as a Deputy District Attorney for Santa Clara County.
 
Fickes received his J.D. from the University of California, Hastings College of Law (1995), his M.A. from Johns Hopkins University (1992), and a B.A. from University of California Berkeley (1987).