33 North Dearborn Street · Suite 600
· Chicago, Illinois 60602 ·

Phone (312) 263-0345 · Fax (312) 263-4670

SEC and CFTC Regulation and Enforcement

The Cotsirilos Firm has extensive experience defending clients against the range of regulatory investigations and enforcement actions brought by, among others, the Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), NYSE, FINRA, and the Nuclear Regulatory Commission (NRC), as well as similar state agencies. Attorneys at the firm previously have served as high-ranking Assistant United States Attorneys and have a thorough and nuanced understanding of the government’s strategies and tactics. The firm works with clients to prepare and present an aggressive defense, with the goal of heading off an investigation before it reaches the public.

Representative cases include:

  • Represented partner from “Big Five” accounting firm in SEC enforcement proceedings;
  • Represented CFO of multi-national corporation in SEC investigation arising from 
$1 billion-plus restatement;
  • Represented the CEO of an Investment Adviser with over $1 billion in assets under management in a case brought by the SEC alleging securities fraud and various violations of the Investment Advisers Act;
  • Represented treasurer of large public company in SEC enforcement action alleging accounting fraud;
  •  Represented COO of a publicly traded company in connection with securities class action for accounting fraud;
  • Represented the CEO of an FCM handling over $1 billion in assets in a civil enforcement action brought by the CFTC alleging fraud, misuse of customer funds, and various other violations of the Commodity Exchange Act.