Skip to main content

Home Court Advantage: Recent Developments and Strategies for Litigants Concerning the SEC’s Increasing Use of Administrative Proceedings


Speaker(s): Daniel Nathan, Eugene Ingoglia
Recorded on: Oct. 7, 2015
PLI Program #: 161596

Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators.  With a combined 26 years as a senior enforcement official with the SEC, CFTC and FINRA, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators.

Mr. Nathan provides clients facing SEC and FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, research, anti-money laundering, product disclosure and supervision, and securities and broker registration.  He also represents clients in SEC investigations involving financial reporting, insider trading, the JOBS Act, Dodd-Frank Act, ETFs, and the EB-5 Visa program.  On the derivatives side, he represents energy companies and traders and other market participants in CFTC and derivatives SRO investigations.  Mr. Nathan also speaks and writes frequently on a wide range of topics concerning financial institutions and enforcement.


Eugene Ingoglia, a partner at Morvillo LLP, focuses his practice on high-stakes, high profile matters involving government regulatory and criminal investigations, including allegations of insider trading, securities fraud, money laundering and tax evasion, as well as regulatory compliance and complex, trial-ready civil litigation.  He has extensive experience in handling sophisticated securities and business crime matters and has achieved notable results for a wide variety of corporate and individual clients over the course of his career. He has represented clients facing insider trading charges in two trials in 2016.

A former Assistant U.S. Attorney for the Southern District of New York (2005 – 2014), where he was a member of the Securities and Commodities Fraud Unit (2010 – 2014), Mr. Ingoglia served as the lead attorney in numerous federal jury trials and complex white collar investigations.  He represented the Government in the trial and conviction of former SAC Capital portfolio manager Mathew Martoma, in the largest insider trading scheme ever charged; led the investigation in the so-called "London Whale" case that resulted in charges against two former JP Morgan traders, alleging the deliberate mismarking of complex securities in order to hide losses; and led the investigation that led to the conviction of former Credit Suisse executives and traders for deliberately overstating the value of certain real estate backed securities, in United States v. Kareem Serageldin, one of the few successful criminal prosecutions arising out of the financial crisis.

Mr. Ingoglia can be heard discussing insider trading with Peter Henning of the NY Times at http://mobile.nytimes.com/2016/04/08/business/dealbook/the-rocky-road-of-insider-trading-law.html?referer=