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‘s New York-based regulatory specialists are adept at tackling issues pertaining to a range of private funds, advising hedge, private equity and VC fund managers on SEC investigations and internal compliance procedures, and with an increasing focus on the matters straddling the boundary between fund regulations and generative AI. The practice is also noted for its work in the broker-dealer sector, where it focuses on Dodd-Frank and Volcker Rule compliance in addition to liaising with FINRA and the SEC, including regarding the proposed Consolidated Audit Trail program. Craig Warkol and Julian Rainero specialize in broker-dealer regulatory enforcement matters, including those tied to securities trading. Co-managing partner Marc Elovitz and Kelly Koscuiszka guide fund managers through the Investment Advisers Act of 1940, with the former also assisting with digital asset trading and blockchain issues. Banking regulatory issues are the primary focus of Donald Mosher‘s practice, which encompasses the licensing of money transmitters and payment processors.

United States > Dispute resolution > Financial services litigation

Schulte Roth & Zabel LLP’s core client base predominantly consists of notable private investment funds including hedge, private equity, and regulated funds. The group is well-versed in regulatory investigations and enforcement matters, as well as investment activities such as market manipulation and potential insider trading. Leading the team are Charles Clark, based in Washington DC, who co-chairs the firm’s securities enforcement practice, while Craig Warkol and Michael Swartz, both of whom are based in New York, co-chair the firm’s litigation group.

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

With its focus on the financial services sector, Schulte Roth & Zabel LLP is well equipped to advise clients such as financial institutions, broker-dealers, private funds, and investment professionals. In addition to handling cases relating to financial misconduct, the team also advises on a wider range of white-collar matters, including public corruption, FCPA violations, and cybersecurity. Charles Clark and Peter White are based in Washington DC. Clark frequently handles enforcement proceedings before the DOJ and SEC, while White advises both companies and executives on an array of white-collar matters, including false claims, public corruption, and fraud. Located in New York, Craig Warkol has experience advising on securities fraud, insider trading, and market manipulation.

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