Sandra Smalley-Fleming maintains a national practice representing parties in cases involving commercial fraud, securities fraud, as well as investor broker disputes in jury trials, court trials and arbitrations around the country.
Sandy represents parties in regulatory proceedings involving the SEC, FINRA and state regulatory entities. She also has extensive experience representing receivers, trustees, creditors and victims in the context of Ponzi schemes.
Prior to joining Fredrikson & Byron, Sandy was at Lindquist & Vennum for 17 years, and served as Chair of that firm’s securities litigation practice before joining Ross Orenstein & Baudry. She has also served as counsel to special litigation committees appointed to investigate shareholder class action claims challenging public company mergers and acquisitions.
Since 2010, Sandy has led Access to Leadership, a program she developed and that has been supported by Medtronic, Best Buy, Minnesota Women Lawyers, the Minnesota State and Federal Bar Association, Lindquist & Vennum, the Woman’s Club of Minneapolis, and Minnesota Monthly. The program provides a public forum for discussing strategies for strengthening and diversifying the leadership in our judiciary, law firms and corporations. The forum draws over 250 participants comprised of federal and state judiciary, corporate executives and members of the local bar. Sandy is continuing this important discussion at Fredrikson & Byron, with a program titled Opportunity to Lead.
Articles & Presentations
Morgan Stanley’s $1M Settlement with SEC Highlights Importance of Regular Testing of Policies and Procedures to Safeguard Customer Information
June 30, 2016
By Sandra Smalley-Fleming & David D. Coyle
The SEC recently issued a press release announcing “that Morgan Stanley Smith Barney LLC has agreed to pay a $1 million penalty to settle charges related to its failures to protect customer information, some of which was hacked and offered for sale online.”Read More
PUBLICATIONS & PRESENTATIONS
- Moderator, “Don’t be Caught Off Guard: Strategies to Manage Risk for Investment Advisors,” Fredrikson & Byron program co-hosted with Charles Schwab and BMO Global Asset Management, June 26, 2018
- Co-Presenter, "Protecting your practice: A cybersecurity roundtable," BMO Global Asset Management, December 13, 2017
- Moderator, “Legal and Regulatory Risks,” Fredrikson & Byron Strategies to Manage Cybersecurity Risks for the Financial Industry Seminar, February 1, 2017
- Mentioned in “How Can The Gender Gap In Corporate Suites Be Narrowed?,” Twin Cities Business, June 20, 2016
Honors & Education
- William Mitchell College of Law, J.D., cum laude, 1999
- University of Nebraska, B.S., 1989
- U.S. Court of Appeals, Eighth Circuit
- U.S. District Court, Minnesota, 2001
- William Mitchell College of Law (now Mitchell Hamline School of Law), Adjunct Professor-Feminist Jurisprudence; Civil Procedure; Professional Responsibility, 2003-2011
- Minnesota Women Lawyers, Leadership Committee Co-Chair, 2007-2015
- Access to Leadership, Founder, 2010-present
- The Woman’s Club of Minneapolis, Membership Committee Chair, Executive Committee Member, 2015-present
- The Woman’s Club of Minneapolis, Board of Directors, 2014-present
- University of St. Thomas Law School, Member of the Board of Governors, 2011-present
- University of St. Thomas Law School, Board of Governors Executive Committee Member, 2014-present