Regulatory Enforcement Defense

New York, NY

Phone: (212) 880-3636
Cell: (347) 880-6140

New York, NY

Phone: (212) 880-3622
Cell: (347) 640-1914

New York, NY

Phone: (212) 880-3583
Fax: (212) 880-3998

Washington, DC

Phone: (202) 661-7039
Fax: (202) 661-7059

Washington, DC

Phone: (202) 220-1940
Fax: (202) 661-7059
Cell: (202) 669-3038

New York, NY

Phone: (212) 880-3964
Fax: (212) 880-3998
Cell: (917) 275-5805

Washington, DC

Phone: (202) 661-7020
Fax: (202) 661-7059

Washington, DC

Phone: (202) 220-1924
Cell: (202) 480-5191

New York, NY

Phone: (212) 880-3630
Fax: (212) 825-9828

Washington, DC

Phone: (202) 220-1933
Fax: (202) 661-7059

New York, NY

Phone: (212) 880-3982
Fax: (212) 825-9828
Cell: (646) 891-7905

Washington, DC

Phone: (202) 661-7019
Fax: (202) 661-7059
Cell: (202) 834-2080

Washington, DC

Phone: (202) 661-7011
Fax: (202) 661-7059
Cell: (202) 680-4908

New York, NY

Phone: (212) 880-3966
Cell: (646)784-4005

New York, NY

Phone: (212) 880-3988
Cell: (347) 880-6662

New York, NY

Phone: (212) 880-3978
Fax: (212) 880-3998
Cell: (347) 949-2054

Washington, DC

Phone: (202) 661-7013
Fax: (202) 661-7059
Cell: (202) 480-6811

Washington, DC

Phone: (202) 661-7017
Fax: (202) 661-7059
Cell: (202) 480-5278

Washington, DC

Phone: (202) 661-7015
Fax: (202) 661-7059
Cell: (202) 480-7326

Washington, DC

Phone: (202) 661-7012
Fax: (202) 661-7059

New York, NY

Phone: (212) 880-3975
Fax: (212) 880-3998
Cell: (347) 758-2295

Washington, DC

Phone: (202) 661-7028
Fax: (202) 661-7059
Cell: (312) 543-7750

New York, NY

Phone: (212) 880-3977
Fax: (212) 825-9828
Cell: (347) 899-0524

Washington, DC

Phone: (202) 661-7033
Fax: (202) 661-7059
Cell: (202) 680-4902

Washington, DC

Phone: (202) 661-7010
Fax: (202) 661-7059
Cell: (202) 680-4941

New York, NY

Phone: (212) 880-3624

Richmond, VA

Phone: (804) 762-5370
Fax: (804) 762-5366
Cell: (347) 899-0434

New York, NY

New York, NY

Phone: (212) 880-3580
Fax: (212) 880-3998
Cell: (203) 984-8256

New York, NY

Phone: (212) 880-3980
Fax: (212) 825-9828
Cell: (347) 899-0544

New York, NY

Phone: (212) 880-3990
Fax: (212) 880-3998
Cell: (917) 538-9223

Washington, DC

Phone: (202) 661-7022
Fax: (202) 661-7059
Cell: (202) 680-4181

Richmond, VA

Phone: (804) 762-5335
Fax: (804) 762-5358
Cell: (804) 350-1748

Washington, DC

Phone: (202) 661-7027
Fax: (202) 661-7059
Cell: (571) 228-4592

New York, NY

Phone: (212) 880-3973
Fax: (212) 880-3998
Cell: (914) 525-1916

Washington, DC

Phone: (202) 220-1923
Cell: (202) 815-4426

Washington, DC

Phone: (202) 661-7016
Fax: (202) 661-7059
Cell: (917) 209-9018

Washington, DC

Phone: (202) 661-7030
Fax: (202) 661-7059
Cell: (202) 480-5921
For more information visit Our Team page.

Looking Forward

SEC Enforcement’s November 2017 “priorities” report promises a “vigorous” 2018 program that will increasingly target individuals along with their entities, demand “goal focused” sanctions “tailored” to particular situations, and increasingly rely on technology and data analytics. Recent SEC initiatives include a new Cyber Unit with expertise in cyber-intrusions, distributed ledger technology, and the dark web. The SEC has also created a Retail Strategy Task Force to ensure equal focus on Main Street and Wall Street. The SEC has committed to moving its investigations faster, particularly in view of the recent Supreme Court ruling holding the SEC to a five-year statute of limitations in disgorgement and penalty claims. Meanwhile, FINRA’s recent merger of its two enforcement teams into a single unit with a new leader – part of the “FINRA 360” self-evaluation – will likely produce new SRO enforcement approaches.