Mr Charles Clark > Schulte Roth & Zabel LLP > Washington DC, United States > Lawyer Profile
Schulte Roth & Zabel LLP Offices
901 Fifteenth Street,
NW, Suite 800
Washington, DC 20005
DISTRICT OF COLUMBIA
United States
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Mr Charles Clark
Work Department
Litigation, Complex Commercial Litigation, Regulatory & Compliance, Securities Enforcement, Securities Litigation, White Collar Defense & Government Investigations, Blockchain Technology & Digital Assets
Position
Charles J. Clark is a nationally acclaimed securities lawyer. Initially recognized for his work leading the investigation of Enron Corporation while serving as a senior member of the SEC’s Division of Enforcement, Charles continues to represent his clients in their most important matters, drawing from his unique combination of government, in-house and private practice experience. Charles represents financial institutions, public companies and accounting firms, and their senior executives, in securities-related enforcement proceedings before the SEC, DOJ, FINRA, PCAOB, and other federal and state law enforcement and regulatory authorities. In particular, he counsels hedge funds, private equity firms, venture capital funds and other asset managers through regulatory scrutiny, including in routine and risk-based inspections and examinations and in enforcement proceedings. He defends investigations involving a broad spectrum of issues, including accounting and disclosure fraud, insider trading, foreign corruption, offering fraud, market manipulation, breach of fiduciary duty and conflicts of interest. In addition, Charles represents boards of directors and associated committees in internal investigations, and he provides guidance on corporate governance and trading practices for public companies and private funds. Prior to entering private practice, Charles served for nine years in the SEC’s Division of Enforcement, most recently as assistant director supervising the investigation and prosecution of some of the SEC’s most significant matters.
Charles has been recognized as a leading litigator by Chambers USA, The Legal 500 US and Benchmark Litigation. A frequent speaker and panelist, Charles has addressed a wide variety of topics of interest to the white collar defense community, including, most recently, the Wells and settlement process at the SEC and responding to the DOJ and SEC’s focus on individual accountability. He also serves as a resource for numerous media publications, including Bloomberg News, Financial Times, The Wall Street Journal and The Washington Post.
Education
New York University School of Law, JD, University of Virginia, BA, with high distinction.
Lawyer Rankings
United States > Dispute resolution > Securities litigation: defense
Schulte Roth & Zabel LLP has a long-standing reputation for representing clients in large securities class actions, and related derivative litigations and ERISA actions. The firm advises more than half of the world’s 100 largest hedge funds and thousands of funds globally, giving it a prominent role in investment funds matters. It has also become a key player in ‘short swing’ cases alleging violations of Section 16(b) of the Securities Exchange Act, and in matters involving structured finance and SPAC-related transactions. The practice is led by Michael Swartz and Gayle Klein in New York, along with Peter White in Washington DC. Swartz is acting for two former members of the Board of Directors of a special purpose acquisition company in a putative shareholder class action lawsuit alleging violations of numerous federal securities laws in connection with a merger between the publicly-traded SPAC and Arrival SA, a privately-held manufacturer of commercial electric vehicles. Charles Clark is recommended for SEC investigations and ensuing litigation.
United States > Dispute resolution > M&A litigation: defense
The New York office of Schulte Roth & Zabel LLP has a long-standing reputation for securities litigation and, increasingly, deal-related cases. It is particularly active in cases arising from proxy contests and corporate control battles, as well as matters involving investment funds. Michael Swartz and Gayle Klein in New York and Peter White in Washington DC lead the practice, which is a key adviser to many of largest hedge funds in the US. Klein and DC-based Charles Clark are also key advisers on SPAC-related cases.
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.
Lawyer Rankings
- Financial services litigation United States > Dispute resolution
- M&A litigation: defense United States > Dispute resolution
- Securities litigation: defense United States > Dispute resolution
- Corporate investigations and white-collar criminal defense United States > Dispute resolution
Top Tier Firm Rankings
- Investment fund formation and management > Alternative/hedge funds
- Finance > Restructuring (including bankruptcy): municipal
- M&A/corporate and commercial > Shareholder activism
Firm Rankings
- M&A/corporate and commercial > M&A: middle-market ($500m-999m)
- Finance > Structured finance: securitization
- Investment fund formation and management > Private equity funds (including venture capital)
- Labor and employment > ERISA litigation
- Dispute resolution > Financial services litigation
- Finance > Financial services regulation
- Dispute resolution > M&A litigation: defense
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Real estate > Real estate finance
- Dispute resolution > Securities litigation: defense
- Tax > US taxes: non-contentious
- Dispute resolution > General commercial disputes
- Real estate > Real estate
- Dispute resolution > Corporate investigations and white-collar criminal defense
- Finance > Restructuring (including bankruptcy): corporate