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Schulte Roth & Zabel LLP

919 THIRD AVENUE, NEW YORK, NY 10022, USA
Tel:
Work +1 212 756 2000
Fax:
Fax +1 212 593 5955
Email:
Web:
www.srz.com
London, New York, Washington DC

Craig Warkol

Tel:
Work +1 212.756.2496
Email:
Schulte Roth & Zabel LLP

Work Department

Broker-Dealer Regulatory & Enforcement, 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 securities enforcement and regulatory matters for broker-dealers, private funds, financial institutions, companies 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 and other self-regulatory organizations and state regulators. Craig leads training sessions for clients on complying with insider trading and market manipulation laws and assists hedge funds and private equity funds in connection with SEC examinations. Craig 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 Honorable Lawrence M. McKenna of the U.S. District Court for the Southern District of New York. Craig has written about enforcement actions against hedge funds and other industry-related topics, and has spoken on attorney-client privilege. Most recently, he was interviewed for the article “Execution Enforcement Actions Escalate,” published in The Hedge Fund Journal.

Education

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


United States: Dispute resolution

Corporate investigations and white-collar criminal defense

Within: Corporate investigations and white-collar criminal defense

Schulte Roth & Zabel LLP's team is jointly chaired by Washington DC's Peter White and Adam Hoffinger and New York-based Barry Bohrer. Demonstrating the group's strength with individual clients, Bohrer represented Joseph Percoco, former aide and campaign manager to Governor Andrew Cuomo, in an investigation into allegations of improper lobbying and conflicts of interest, a case in which the client was cleared of three of the six counts after a jury trial. In anther matter, Douglas Koff and Craig Warkol in New York are representing Jun Ying, the former CIO of Equifax, in two separate insider trading cases brought by the SEC and the US Attorney's Office for the Northern District of Georgia.

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United States: Finance

Financial services regulation

Within: Financial services regulation

Schulte Roth & Zabel LLP provides an 'outstanding level of service' to a myriad of participants seeking regulatory advice in the context of banking, payments and trading matters, in particular. Spearheaded by the 'excellent' Joseph Vitale, the team excels at matters at the intersection of the bank regulatory and asset management spheres, and is noted for its 'excellent work for private equity and hedge funds on their banking investments'. Vitale continues to handle a significant amount of bank investment work for Cerberus Capital Management, including recently advising it (as the lead in a private equity consortium) on the acquisition of German bank, HSH Nordbank. He is also extremely well versed on Volcker Rule issues and recently assisted Credit Suisse with the restructuring of its Systemic Market-Making Group in order to fit within certain exemptions of the rule. Praised for his 'understanding, not only of the law but also the regulators', Donald Mosher leads the firm's efforts on the payments regulatory front, from both a standalone advisory perspective and in relation to M&A in the sector. Mosher has advised Ant Financial on several transactions, including its proposed acquisition of MoneyGram. Julian Rainero and Craig Warkol co-chair the firm's broker-dealer regulatory practice and are key members of the financial services regulatory team, which also includes AML and OFAC expert Betty Santangelo. All named attorneys are based in New York.

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