Morgan Lewis

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, US federal and state litigation, and other complex commercial litigation matters.

lawflash

FINRA Issues Additional Extraordinary Cooperation Guidance

report

2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

report

2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    Selected Representations

    Zoe’s recent representations and areas of expertise include matters relating to:

    • SEC Rule 15c3-3 (Customer Protection Rule), including compliance with the regulations’ possession or control requirements
    • Unit Investment Trust (UIT) suitability and supervision
    • Cryptocurrency
    • Write Once, Read Many (WORM) compliance, including record maintenance, retention, and audit requirements
    • Failure to supervise under FINRA Rule 3110
    • SEC Rule 15c3-1 net capital requirements
    • Foreign Corrupt Practices Act (FCPA)

    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 Medial 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

    7/17/2019 - FINRA Issues Additional Extraordinary Cooperation Guidance

    February 2019 - 2018 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    10/19/2018 - Spotlight on AML: The EU’s Prevention Plans and What it Can Learn from the US, Global Investigations Review

    February 2018 - 2017 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    February 2017 - 2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

    News

    2/28/2017 - Morgan Lewis Issues 11th Annual Report on SEC, FINRA Enforcement Developments and Cases

    Events

    1/26/2017 - SIFMA Leaders and Experts Forum 2017