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Jay A. Dubow

Jay A. Dubow is a partner with Pepper Hamilton LLP, resident in the Philadelphia office. He is a member of the firm’s White Collar Litigation and Investigations Practice Group and is co-chair of the Securities and Financial Services Enforcement Group. Mr. Dubow focuses his practice on complex business litigation, with a special emphasis on defending against shareholder derivative and securities class action litigation and representing clients involved in investigations by the U.S. Securities and Exchange Commission, the Pennsylvania Securities Commission and various self-regulatory organizations, including the Financial Industry Regulatory Authority, Inc. He also conducts internal investigations on behalf of clients. Such investigations have included allegations involving the Foreign Corrupt Practices Act (FCPA), whistle blower claims, financial fraud, and civil and criminal violations of various federal and state laws.

Mr. Dubow first joined Pepper in 2007 from another Philadelphia law firm, where he was a partner in the litigation and corporate departments and a member of the executive committee. In 2008, he joined a client, Advanta Corp., as senior vice president, general counsel and chief administrative officer. He returned to Pepper in 2011. Mr. Dubow began his career as a branch chief in the Division of Enforcement of the U.S. Securities and Exchange Commission in Washington, D.C.

Active in local and national bar associations, Mr. Dubow is a leader in the American Bar Association’s Business Law Section and currently serves as chair of the Securities Litigation Subcommittee of the Business and Corporate Litigation Committee.

B.S. 1981, magna cum laude, University of Pennsylvania, The Wharton School
J.D. 1984 University of Pennsylvania Law School

Bar Admissions
Admitted to practice in Pennsylvania and the District of Columbia

Jay A. Dubow
Phone: 215.981.4713
Fax: 215.981.4750
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Practice Area(s)
Commercial Litigation
Financial Services Enforcement Response Team

Securities and Financial Services Enforcement Group
Securities Enforcement and Litigation

Securities Litigation
White Collar Litigation and Investigations


Halliburton II: Recognizing Costs to Companies, Justices Provide Securities Litigation Defendants New Opportunity to Defeat Class Certification

Securities and Exchange Commission Creates New Private Fund Unit Dedicated to Examination of Private Equity and Hedge Funds

Fair Value Accounting: Reinforcing Organizational Transparency and Accountability

M&A Season: What to Expect, and Are You Ready?

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

Rule 10b5-1 Stock Trading Plans Are Not Bulletproof

Confronting the New Shareholder Strike Suit

The Importance of Having and Following a Strong Public Company Insider Trading Policy

SEC Adopts Final Dodd-Frank Whistleblower Rules that Will Allow Employee-Whistleblowers to Circumvent Companies’ Internal Compliance Programs

Supreme Court to Address Pleading Requirements in Securities Cases


Corporate Insider Trading Plans Are Not Bulletproof: Avoiding Common Pitfalls in Dealing with Rule 10b5-1 Plans

SEC Investigations and Enforcement: A Practitioner's Guide

Prosecution, Defense and Settlement of M&A Stockholder Litigation: A Solution in Search of a Problem

SEC Investigations, Accounting and Disclosure Fraud: Critical Issues for 2014 and Beyond

The SEC's Financial Fraud Issues and Probes

Investment Management - What's Happening Now: SEC Enforcement Priorities, Practices and Procedures

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