Justin P. Klein

As a respected corporate counselor in the areas of securities and corporate governance, Justin P. Klein advises publicly and privately held companies on diverse securities matters, including day-to-day corporate governance and other transactional matters. His practice also encompasses representation of other firms in the securities industry, including investment advisers, banks, and investment companies.

Mr. Klein has significant experience representing both issuers and underwriters in public and private offerings of common stock and debt securities. He frequently provides public companies and their boards and independent committees with both regulatory and strategic advice in merger and acquisition transactions, including going-private transactions. He also represents boards of directors and committees of public and private companies in special investigations and parties in regulatory and enforcement proceedings before the SEC, state securities commissions, and securities industry self-regulatory organizations.

Mr. Klein has served as a court-appointed trustee in SEC enforcement matters. Before entering private practice, he spent nine years at the Securities and Exchange Commission, including as assistant director of the Division of Corporation Finance.

Mr. Klein is the Practice Leader of Ballard Spahr's Securities Group.

Professional Activities

Philadelphia Bar Association
Past Chair, Business Law Section, Executive Committee; past Chair, Committee on Securities Regulation

National Association of Securities Dealers, Inc. (now FINRA)
Past Chair and member, National Arbitration and Mediation Committee

Pennsylvania Securities Commission, Attorney Advisory Committee

Ballard Spahr's Diversity Council

Recognition & Accomplishments

Chambers USA: America's Leading Lawyers for Business, corporate/M&A and securities law, highest ranking (band one); corporate/M&A and private equity law, 2003-2013

The Best Lawyers in America, corporate law, mergers and acquisitions law, and securities/capital markets law, 2006-2013

Publications

Writes extensively on a wide variety of securities law issues, including corporate governance, executive compensation, and securities regulations

Co-author, "Pennsylvania's Strong Protections for Corporate Boards," Insights Magazine: Corporate Governance, February 2012

Speaking Engagements

Frequent speaker at securities law conferences 

George Washington University Law School (J.D. 1972, with honors)

University of Pennsylvania (B.A. 1969)

District of Columbia

Maryland

Pennsylvania