Morgan Lewis

Zoe Phillips

Associate

Zoe Phillips represents businesses and individuals in government and self-regulatory organization investigations and white collar criminal matters. Zoe has particular experience representing broker-dealers and their employees in Financial Industry Regulatory Authority (FINRA) investigations and conducting internal investigations for such firms. She has also been involved in securities and real estate litigation matters.

report

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

report

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

    Selected Representations

    Recent representations of broker-dealers and their employees in Financial Industry Regulatory Authority (FINRA) investigations include matters in the following areas:

    • SEC’s Customer Protection Rule, including compliance with the regulations’ possession or control requirements
    • Write Once, Read Many (WORM) compliance, including record maintenance, retention, and audit requirements
    • Failure to supervise

    Education

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

    Admissions

    • New York

    Awards and Affiliations

    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

    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