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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 is a partner in the investigations and litigation practice at Allen & Overy LLP. His practice focuses on criminal, civil and regulatory securities and anti-corruption matters, as well as 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 clients over the course of his career. He has represented clients in actions and investigations by various U.S. Attorney's Offices, the SEC, the CFTC, FERC, and FINRA as well as other federal and state regulatory agencies, involving allegations of securities fraud, accounting fraud, insider trading, market manipulation, FCPA violations, money laundering, public corruption, and healthcare fraud. In addition, Gene has represented numerous clients at trial against the SEC and the U.S. Attorney’s Office, including a hedge fund partner in the controversial “political intelligence” insider trading criminal trial in the Southern District of New York.

Gene has tried more than a dozen federal criminal cases, and briefed and argued numerous appeals before the U.S. Court of Appeals for the Second Circuit.

Gene has been recognized by Chambers USA for "his sophisticated criminal defense practice."  Chambers interviewees refer to Gene as "a smart and creative lawyer with a lot of credibility and versatility."

Previously, Gene was an Assistant U.S. Attorney for the Southern District of New York and a member of the Securities and Commodities Fraud Unit, serving as the lead attorney in numerous federal jury trials and complex white collar investigations. In that position, 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; and conducted the investigation that led to the conviction of former bank executives and traders for deliberately overstating the value of certain real estate backed securities, one of the few successful criminal prosecutions of individual executives arising out of the financial crisis.