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Zoe Phillips

Associate

Zoe Phillips represents businesses and individuals before the US Department of Justice (DOJ), the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the US Commodity Futures Trading Commission (CFTC), and other governmental and regulatory authorities in securities enforcement and white collar matters. Zoe’s experience includes government, self-regulatory organization and internal investigations, regulatory and compliance counseling, US federal and state litigation, and other complex commercial litigation matters.

report report

2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases

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FINRA Issues Additional Extraordinary Cooperation Guidance

    Selected Representations

    • Defended a former CEO of a for-profit education company against SEC charges in federal court, resulting in favorable settlement on the eve of trial
    • Represents global digital currency exchange in DOJ/CFTC investigations and state litigation
    • Represented individual in DOJ cryptocurrency investigation
    • Represented broker-dealers in FINRA investigations related to SEC Rule 15c3-3 (Customer Protection Rule), including compliance with the regulations’ possession or control requirements
    • Represented former senior manager of automobile manufacturer in DOJ vehicle emission investigation
    • Represented broker-dealers in FINRA investigations related to Unit Investment Trust (UIT) suitability and supervision
    • Represented broker-dealer in FINRA investigation related to prospectus delivery requirements and supervision
    • Represented companies in Foreign Corrupt Practices Act (FCPA) investigations involving related inquiries by the DOJ and SEC
    • Represented global bank in CFTC foreign exchange trading investigation
    • Represented broker-dealers in FINRA investigations related to Write Once, Read Many (WORM) compliance, including record maintenance, retention, and audit requirements
    • Represented international bank in CFTC spoofing investigation
    • Represented individual in FINRA investigation involving alleged failure to supervise under FINRA Rule 3110
    • Represented broker-dealers in FINRA investigations related to SEC Rule 15c3-1 net capital requirements

    Education

    • Fordham University School of Law, 2015, J.D., Cum Laude
    • Bates College, 2010, B.A., Cum Laude

    Admissions

    • New York

    Awards and Affiliations

    Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)

    Recipient, Fordham Law Alumni Association Medal in Constitutional Law (awarded to the member of the graduating class who excelled in Constitutional Law)

    Recipient, Hugh R. Jones Award (awarded to the student in the graduating class who attained the highest combined weighted average in the subjects of Constitutional Law, Criminal Justice and Professional Responsibility)

    Interschool Competitions Editor, Brendan Moore Trial Advocacy Center

    Associate Editor, Fordham Intellectual Property, Media & Entertainment Law Journal

    Publications

    News

    Events