Regulatory Enforcement Defense

Daniel S. Alter attorney profile image

New York, NY

C: (347) 880-6140
T: (212) 880-3636
Lionel André attorney profile image

Washington, DC

T: (202) 661-7039
F: (202) 661-7059

New York, NY

T: (212) 880-3583
F: (212) 880-3998
Christian R. Bartholomew attorney profile image

Washington, DC

C: (202) 669-3038
T: (202) 220-1940
F: (202) 661-7059
Daniel T. Brown attorney profile image

Washington, DC

T: (202) 661-7020
F: (202) 661-7059
Katherine Cooper attorney profile image

New York, NY

T: (212) 880-3630
F: (212) 825-9828
Elizabeth M. Del Cid attorney profile image

New York, NY

C: (646) 891-7905
T: (212) 880-3982
F: (212) 825-9828
James Dombach attorney profile image

Washington, DC

C: (202) 834-2080
T: (202) 661-7019
F: (202) 661-7059
William E. Donnelly attorney profile image

Washington, DC

C: (202) 680-4908
T: (202) 661-7011
F: (202) 661-7059
Barry S. Gold attorney profile image

New York, NY

C: (347) 949-2054
T: (212) 880-3978
F: (212) 880-3998
Joseph I. Goldstein attorney profile image

Washington, DC

C: (202) 480-6811
T: (202) 661-7013
F: (202) 661-7059
Christina M. Hill attorney profile image

Washington, DC

C: (202) 480-5278
T: (202) 661-7017
F: (202) 661-7059
Robert P. Howard, Jr. attorney profile image

Washington, DC

C: (202) 480-7326
T: (202) 661-7015
F: (202) 661-7059
Theodore A. Krebsbach attorney profile image

New York, NY

C: (347) 758-2295
T: (212) 880-3975
F: (212) 880-3998
Joseph C. Lombard attorney profile image

Washington, DC

C: (312) 543-7750
T: (202) 661-7028
F: (202) 661-7059
Victor A. Machcinski, Jr. attorney profile image

New York, NY

C: (347) 899-0524
T: (212) 880-3977
F: (212) 825-9828
Alexandra J. Marinzel attorney profile image

Washington, DC

C: (202) 680-4902
T: (202) 661-7033
F: (202) 661-7059
Thomas J. McGonigle attorney profile image

Washington, DC

C: (202) 680-4941
T: (202) 661-7010
F: (202) 661-7059

New York, NY

T: (212) 880-3624
Katherine M. McGrail attorney profile image

Richmond, VA

C: (347) 899-0434
T: (804) 762-5370
F: (804) 762-5366

New York, NY

Andrew J. Melnick attorney profile image

New York, NY

C: (203) 984-8256
T: (212) 880-3580
F: (212) 880-3998
Heather B. Middleton attorney profile image

New York, NY

C: (347) 899-0544
T: (212) 880-3980
F: (212) 825-9828
Sharon A. O'Shaughnessy attorney profile image

New York, NY

C: (917) 538-9223
T: (212) 880-3990
F: (212) 880-3998
Robertson Park attorney profile image

Washington, DC

C: (202) 680-4181
T: (202) 661-7022
F: (202) 661-7059
Daniel M. Payne attorney profile image

Richmond, VA

C: (804) 350-1748
T: (804) 762-5335
F: (804) 762-5358
Timothy Peterson attorney profile image

Washington, DC

C: (571) 228-4592
T: (202) 661-7027
F: (202) 661-7059
Michael V. Rella attorney profile image

New York, NY

C: (914) 525-1916
T: (212) 880-3973
F: (212) 880-3998
Brian M. Walsh attorney profile image

Washington, DC

C: (202) 480-5921
T: (202) 661-7030
F: (202) 661-7059
For more information visit Our Team page.

Looking Forward

In addition to its traditional caseflow, SEC Enforcement’s 2018 year-end report shows that digital assets will be at the forefront of regulatory scrutiny during the coming year — with the SEC’s still-new Cyber Unit zeroing in on ICOs and token-offering cases, broker-dealer and investment adviser registration issues, and outright frauds involving digital assets. Cyber breach cases will also see a significant uptick. Enforcement will focus particularly on “Main Street” cases, a Chairman Clayton priority. CFTC Enforcement will focus on fraud in cryptocurrency cash markets, cross-market and mere attempted spoofing, and its new focus on insider trading and protection of confidential customer information. FINRA’s enforcement activity will likely step up as it moves beyond its recent FINRA 360 reorganization.