Mr Craig Warkol > Schulte Roth & Zabel LLP > New York, United States > Lawyer Profile

Schulte Roth & Zabel LLP Offices

Schulte Roth & Zabel LLP
919 THIRD AVENUE
NEW YORK, NY 10022
NEW YORK
United States
Visit website 1 212 756 2000 1 212 593 5955

Mr Craig Warkol

Craig Warkol photo
+1 212.756.2496 craig.warkol@srz.com

Work Department

Broker-Dealer Regulatory & Enforcement, Blockchain Technology & Digital Assets, Hedge Funds, Investment Management, Regulatory & Compliance, Securities Enforcement, White Collar Defense & Government Investigations

Position

Craig S. Warkol is co-chair of the Broker-Dealer Regulatory & Enforcement Group. His practice focuses on enforcement and regulatory matters for broker-dealers, private funds, financial institutions and individuals. Drawing on his experience both as a former enforcement attorney with the U.S. Securities and Exchange Commission and as a Special Assistant U.S. Attorney, Craig advises clients on securities trading matters and, when necessary, represents them in regulatory investigations and enforcement actions by the SEC, DOJ, FINRA, CFTC and other self-regulatory organizations and state regulators. Craig leads training sessions on complying with insider trading and market manipulation laws and assists hedge funds and private equity funds in connection with SEC examinations. He also has experience representing entities and individuals under investigation for, or charged with, securities fraud, mail/wire fraud, accounting fraud, money laundering, Foreign Corrupt Practices Act (FCPA) violations and tax offenses. In his previous roles in the U.S. Attorney’s Office for the Eastern District of New York and the SEC, Craig prosecuted numerous complex and high-profile securities fraud, accounting fraud and insider trading cases.

Craig is recognized as a leading litigation lawyer in Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms and Attorneys, The Legal 500 US and New York Super Lawyers. He is a former law clerk to the Hon. Lawrence M. McKenna of the U.S. District Court for the Southern District of New York. Craig has written and spoken about enforcement trends in the private fund space and other industry-related topics. He was interviewed for the article “Execution Enforcement Actions Escalate,” published in The Hedge Fund Journal. Craig earned his J.D., cum laude, from the Benjamin N. Cardozo School of Law and his B.A. from the University of Michigan.

Education

Benjamin N. Cardozo School of Law, JD, cum laude (Notes Editor, Cardozo Law Review); University of Michigan, BA

Lawyer Rankings

United States > Finance > Financial services regulation

Schulte Roth & Zabel LLP offers a multidisciplinary group focused on emerging trends, covering regulatory issues affecting private funds and broker-dealers in relation to the creation and implementation of compliance programs and investigations carried out by FINRA and the SEC, respectively; the team places a further emphasis on issues surrounding digital wallet issuers, card associations, bill payment companies, currency exchangers and stablecoin issuers. The leadership team, which is based in New York, is comprised of Craig Warkol and Julian Rainero on the broker-dealer regulatory and enforcement front as well as banking regulatory expert Donald Mosher and investment management regulatory specialist Marc Elovitz.

United States > Dispute resolution > Financial services litigation

Drawing expertise from a number of groups, Schulte Roth & Zabel LLP concentrates its efforts towards regulatory investigations and enforcements by government bodies, specifically the SEC. The firm has expanded its crypto funds capacity and recently represented Pantera Capital in a high-stakes dispute with Polychain regarding the application of the corporate opportunity doctrine in the investment fund space. The firm also has a broad focus on investment funds and broker dealer work, including activity such as cryptocurrency investments, insider trading, SPACs and block trading. The team’s cross-practice leadership is comprised of Craig Warkol, co-chair of the securities enforcement and broker dealer regulatory and enforcement groups and Julian Rainero, also co-chair of the latter, in New York, as well as Peter White, co-chair of the litigation and white-collar defense groups and Charles Clark, co-chair of the securities enforcement group, based in Washington DC.

United States > Dispute resolution > Corporate investigations and white-collar criminal defense

Schulte Roth & Zabel LLP has a strong reputation in the market for representing alternative investment funds in the white-collar space, counting a number of financial institutions and broker-dealers among its clients. Insider trading, cryptocurrencies, and public company investigations form part of the firm’s advisory portfolio. New York’s Douglas Koff and Craig Warkol lead the practice alongside a Washington DC-based duo consisting of Peter White and Charles Clark. Gary Stein  left the firm in July 2023.

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