David regularly represents financial services firms and individuals in investigations and litigation conducted by the CFTC, the SEC, the Financial Industry Regulatory Authority, CME Group, and other regulatory agencies and organizations. His experience covers the spectrum of enforcement and regulatory matters, including derivatives and securities trade practices, disclosure fraud, insider trading, market manipulation, issuer statutory disqualification, and derivatives and securities regulatory compliance.
David served for nearly a decade at the CFTC and the SEC where he led numerous administrative investigations and federal court actions involving a broad range of conduct in the derivatives and securities markets.
While at the CFTC, David successfully represented the government in a federal court action arising from multi-billion dollar intra-bank stock futures trades, the largest wash sale case in the CFTC’s history. During his five years at the agency he also investigated and litigated a broad array of cases involving futures and swaps trading and clearing practices, commodity pool and commodity trading advisor fraud, futures and foreign exchange Ponzi schemes, off exchange binary options trading, failure to supervise, false statements, and books and records violations. Many of the matters David led at the CFTC involved parallel investigations brought together with the SEC and other governmental agencies and self-regulatory organizations (SROs).
During his four years at the SEC, David led numerous investigations and federal court actions involving securities trade practice violations, securities offering and disclosure fraud, accounting fraud, mutual fund fraud, insider trading, failure to supervise, aiding and abetting, internal corporate controls, books and records, and options trading.
More Legal and Business Bylines From David Slovick
- Does The CFTC Require Trading Screens And Technology Providers To Register As CTAs? - (Posted On Friday, September 22, 2023)
- Digital Asset Businesses Amp Up Their Compliance Measures to Avoid Insider Trading Actions - (Posted On Friday, August 26, 2022)
- Is Crypto a Security? Insider Trading Case Leads to DOJ, SEC Scrutiny - (Posted On Wednesday, July 27, 2022)
- Fifth Circuit Holds That SEC Administrative Law Courts Are Unconstitutional - (Posted On Monday, May 23, 2022)
- The Enforcement Climate is Changing for ESG Disclosures - (Posted On Thursday, January 27, 2022)
- SEC Proposes Amendments to the Requirements of Rule 10b5-1 Trading Plans - (Posted On Wednesday, December 22, 2021)
- SEC Announces FY2021 Results With 7 Percent Increase in New Enforcement Actions - (Posted On Wednesday, December 01, 2021)
- Down the Rabbit Warren: A Senator’s Novel Bid to Expand the CFTC's Jurisdiction - (Posted On Wednesday, August 18, 2021)
- Half a Loaf: Congress Extends the Statute of Limitations on Some SEC Remedies - (Posted On Thursday, January 14, 2021)
- When a Foreign Corruption Case Is Not a Foreign Corruption Case - (Posted On Monday, December 21, 2020)