The Best Ways To Respond To Enforcement From SEC, CFTC

Law360 (February 18, 2021, 5:53 PM EST) -- As directors of the Enforcement Divisions of the U.S. Securities and Exchange Commission and Commodity Futures Trading Commission, we had responsibility for overseeing all of our respective agencies' investigations, resolutions and litigations.

Over the more than three years we each spent in our roles, we oversaw many hundreds of cases, participated in scores of Wells and other advocacy meetings, and formulated countless recommendations to our respective commissions regarding charges and settlement parameters.

We consider ourselves fortunate to have faced many highly skilled, professional and effective members of the securities and commodities defense bar. Although we worked in different agencies and confronted...

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