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

Schulte Roth & Zabel LLP
919 THIRD AVENUE
NEW YORK, NY 10022
United States
Craig Warkol photo

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 AttorneysThe 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 is well-known for its work for payment processors, with Donald Mosher advising both traditional companies in the space and fintech-related entrants to the market on regulatory matters. The team’s ability to handle complex regulatory issues in this area was demonstrated by its work for Ant Group in helping the company to obtain money transmitter licenses in several states. The practice regularly advises on acquisitions and disposals involving payment processors. Beyond the payments space, the team is also frequently engaged by broker-dealers to provide advice on compliance; Julian Rainero and Craig Warkol are the key partners in this area. All lawyers are based in New York.