![David Slovick Securities and Corporate Financial Attorney Barnes & Thornburg Law Firm](https://www.natlawreview.com/sites/default/files/styles/author_profile/public/images/DavidSlovick_800.jpg?itok=3zLQDJCk)
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
- SEC Again Highlights Risks of Investing in Chinese Securities - (Posted On Thursday, December 03, 2020)
- SEC Steps Up Enforcement for Unsuitable Sales of Complex ETPs - (Posted On Wednesday, November 18, 2020)
- CFTC Provides Guidance on Cooperation in Enforcement Actions - (Posted On Wednesday, November 04, 2020)
- CFTC Closes A Loophole For Exempt Commodity Pool Operators - (Posted On Wednesday, September 23, 2020)
- SEC Highlights COVID-Related Risks Facing Broker-Dealers and Investment Advisers - (Posted On Monday, August 31, 2020)
- SEC Hosts Roundtable to Discuss Risks Associated With U.S.-Listed Chinese Companies - (Posted On Tuesday, July 14, 2020)
- U.S. Supreme Court Confirms SEC’s Right To Seek Disgorgement Under Securities Exchange Act - (Posted On Wednesday, June 24, 2020)
- U.S. Commodity Futures Trading Commission Issues New Guidance On Civil Penalties - (Posted On Thursday, May 28, 2020)
- U.S. Securities And Exchange Commission Launches Investigations Into PPP Loans - (Posted On Tuesday, May 19, 2020)