Member Profile

Dixie Johnson

King & Spalding 1700 Pennsylvania Avenue, NW, Suite 200 Washington, DC 20006-4707

djohnson@kslaw.com

Washington DC

Phone: (202) 626-8984

Practice Areas

Corporate Governance

Government Investigations

Insider Trading

Internal Investigations

SEC Enforcement

Education

University of New Mexico School of Law, JD – 1986 New Mexico Highlands University, MBA – 1983 Oklahoma Baptist University, BA – 1977

Dixie Johnson

Professional Profile

Dixie L. Johnson is a partner in the firm’s Special Matters and Government Investigations practice group and leads the firm’s securities enforcement and regulation practice, representing businesses and individuals in government securities investigations from her office in Washington, DC. Consistently ranked among the most prominent securities enforcement lawyers in the United States, she represents public companies, financial institutions, public accounting firms, boards of directors and boards of trustees, corporate officers and other individuals in securities enforcement investigations. She also counsels clients regarding their regulatory and disclosure obligations, assists clients in developing policies and procedures to deter violations, and conducts internal investigations. Few of her representations ever become known to the public. In addition to representing the businesses and business leaders who are her clients, Ms. Johnson is Chair of the Business Law Section of the American Bar Association, representing business lawyers from throughout the ABA in the leading issues of the day. As Business Law Secretary and Vice-Chair, Ms. Johnson served as co-editor-in-chief of the Section's online monthly magazine, Business Law Today, in 2010-2011 and as editor-in-chief of the Section's renowned journal, The Business Lawyer, in 2010-2012. Selected in 2006 as the recipient of that Section's "Jean Allard Glass Cutter Award," given annually to a woman who has cut through barriers to attain high accomplishments in Business Law, she had previously served as Chair of the Committee on Federal Regulation of Securities and as co-chair of that committee's Subcommittee on Civil Litigation and SEC Enforcement Matters. Before joining King & Spalding, Ms. Johnson was a partner at Fried, Frank, Harris, Shriver & Jacobson LLP. Prior to becoming a lawyer, she taught in the Albuquerque, New Mexico public school system for six years.

Representative Matters

 Multiple corporate officers in connection with insider trading and tipping investigations (several closed without action, some settled, e.g. SEC v. Mary Beth Knight et al, 2:11-cv-00973-DGC (D. Ariz.) (May 18, 2011)).  A major insurance company in a multi-year investigation concerning the company’s accounting for earnings and expenses concerning loss mitigation insurance (SEC v. Assurant, Inc., 10 Civ 0484 (ECF) (Jan. 21, 2010)).  An internal lawyer for a large mutual fund administrator (BISYS) regarding an SEC investigation regarding disclosure to mutual fund boards of 12b-1 fees (In the Matter of Melissa M. Hurley, Adm. Proc. File No. 3-13493 (May 28, 2009)).  Merrill Lynch in connection with an SEC investigation and a US Attorney’s Office prosecution of former employees regarding trading floor “squawk box” communications (In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Adm. Proc. File No. 3-13407 (March 11, 2009)).  The General Counsel of a Fortune 100 company in an SEC disciplinary action concerning his lapsed bar license (In the Matter of Arthur P. Hipwell, Adm. Proc. File No. 3-13353 (January 27, 2009)).  Merrill Lynch in connection with an SEC investigation concerning prompt production of electronic mail (In the Matter of Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Adm. Proc. File No. 3-12236 (March 13, 2006)).  The New York Stock Exchange in connection with an SEC investigation of the NYSE’s policing of rules concerning specialist interpositioning (In the Matter of New York Stock Exchange, Inc., Adm. Proc. File No. 3-11892 (April 12, 2005)).  An electronic trading equities, options and futures firm and the owner of the firm in a Philadelphia Stock Exchange enforcement action appealed to the SEC, in which the SEC dismissed PHLX’s charges (Lek Securities Corp. and Samuel F. Lek, Rel. No. 34-50324 (September 7, 2004)).  American Express Financial Advisors in connection with SEC and FINRA investigations of breakpoint discounts (In the Matter of American Express Financial Advisors, Inc., Adm. Proc. File No. 3-11395 (Feb. 12, 2004)).  Merrill Lynch in connection with SEC and FINRA investigations of research analyst conflicts of interest (settled, SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, No. 03 Civ. 2941 (WHP) (S.D.N.Y. Oct. 31, 2003)).  The New York Stock Exchange in connection with an SEC investigation of the NYSE’s policing of rules concerning floor brokers (In the Matter of New York Stock Exchange, Inc., Adm. Proc. File No. 3-9925 (June 29, 1999)).

Other Distinctions

•Named to Securities Docket’s “Enforcement 40” list of top SEC enforcement lawyers, 2013 •Glass Cutter Award in 2006 •Chambers USA: America's Leading Lawyers for Business consistently ranks Ms. Johnson as a leading individual in Securities Regulation: Enforcement (National), noting that she is praised by clients for "her ability to craft workable solutions to problems" and commended for "her strong judgment, creative approach and excellent rapport with clients, peers and regulators." •Consistently recognized by Legal 500 in Financial Services: Litigation and is additionally recognized in White-Collar Criminal Defense •Recognized by Benchmark: Litigation as a Washington, DC Litigation Star •Selected as one of "Washington's Top Lawyers" by Washingtonian magazine in 2011 •Selected as one of the top ten "Leading Lawyers" in Securities and Corporate Governance by the Legal Times of Washington in 2003.

Publications

SEC Cooperation Update: 2012 Year-End Review January 2013 Source: Wall Street Lawyer Authors: Dixie Johnson, Carmen Lawrence and Jonathan Forman A Primer for New Iran-Related Disclosures Jan 15, 2013 Source: Law360 Authors: Dixie Johnson and Matthew Hanson Recent Developments in the SEC Cooperation Initiative Nov 9, 2012 Source: Practising Law Institute's 44th Annual Institute on Securities Regulation Authors: Dixie L. Johnson, Carmen J. Lawrence, Jonathan A. Forman, Jessica P. Neiterman, Brenna C. Terry, and Sonya Tien Zealous Advocacy and Offending the SEC: The SEC's Lawyer Discipline Program October 2012 Source: Insights: Corporate & Securities Law Advisor, Vol. 26, No. 10 Authors: Dixie L. Johnson and David D. Whipple Extending FINRA's Rules To Debt Research Mar 23, 2012 Source: Law360 Authors: Linda Riefberg and Gregory Gnall

Prior Experience

Prior to becoming a lawyer, Dixie taught in the Albuquerque, New Mexico public school system for six years.

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