Zoe Phillips

Associate

Zoe Phillips focuses her practice on representing financial institutions and their employees in investigations by the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), US Department of Justice (DOJ), Commodities Futures Trading Commission (CFTC), and other governmental and regulatory authorities as well as conducting related internal investigations. Zoe also counsels clients on regulatory and compliance issues.

report

Current Developments in SEC and FINRA Examinations & Enforcement 2022–2023

Represented senior employees of a broker-dealer in SEC investigation of off-channel communications on personal devices
Represented broker-dealers in SEC and FINRA investigations related to 529 college savings plans
Represented broker-dealers in FINRA investigations of firm systems for monitoring employee outside investment accounts and for potential insider trading
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 broker-dealer in FINRA investigation of the supervision of concentrated positions
Represented an individual in an NYSE Regulation investigation regarding the use of algorithmic trading strategies
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
Defended a former CEO of a for-profit education company against SEC charges in federal court, resulting in a favorable settlement on the eve of trial
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 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
Represented former senior manager of automobile manufacturer in DOJ vehicle emission investigation
Represented global digital currency exchange in DOJ/CFTC investigations and state litigation
Represented individual in DOJ cryptocurrency investigation

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

New York

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