Ellen M. Wheeler represents broker-dealers, introducing brokers, commodity trading advisors, investment advisors, commercial end users, proprietary trading firms, and their employees and officers in both litigation and enforcement matters. She has defended clients in large securities class actions, in arbitrations brought by customers and employees, at administrative hearings against the Securities and Exchange Commission’s Division of Enforcement, and in connection with other enforcement investigations and proceedings by the SEC, CFTC, FINRA, NFA, CME Group, and other regulatory organizations. Ellen is a partner in the firm’s Securities Enforcement & Litigation as well as Securities, Commodities & Exchange Regulation Practices.
Additionally, Ellen provides regulatory counseling to clients, including assisting broker-dealers, introducing brokers, and other clients with regulatory exams, internal investigations, and compliance with new rules and regulations.
