Changes to SEC and CFTC Wells Process and Related Rules: Implications for Investigations and Enforcement Actions

Mr. Carney is a former Securities Fraud chief, assistant U.S. attorney, U.S. Securities and Exchange Commission senior counsel and certified public accountant at a “Big Four” accounting firm. He is a seasoned advocate who represents public and private corporations and financial institutions in complex civil, regulatory and criminal law enforcement investigations and litigation, and advises and defends corporations and senior officers on FCPA compliance, investigation and defense. Having litigated for, and against, the U.S. government, Mr. Carney strongly encourages clients to take preemptive governance and remediation measures to mitigate legal and reputational risk in today's increasingly aggressive law enforcement environment. He lectures extensively at domestic and international conferences and training seminars on anticorruption and anti­-money laundering laws, corporate governance, compliance and disclosure, insider trading, securities, tax and other financial crimes, and defending complex and multijurisdictional civil and criminal cases.

Formerly of the world’s leading derivatives exchange, Ms. Tanney has a broad securities, derivatives, and compliance practice focused on representing public companies and corporate executives in complex civil and regulatory enforcement actions before the SEC, DOJ, and FINRA. She also provides counsel on compliance issues and remedial measures to mitigate financial or reputational risk, including those concerning evolving financial regulations and corporate management. Ms. Tanney’s experience also includes providing counsel to emerging companies, including scalable startups, on issues related to blockchain, cryptocurrency, and digital assets. Leveraging her knowledge of financial markets and complex financial instruments, Ms. Tanney serves as a lead attorney on significant matters in connection with the firm’s role as court-appointed counsel to Irving H. Picard, SIPA Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC. She is a frequent writer and commentator on regulatory, compliance, and enforcement-related matters involving the SEC, DOJ, and Commodity Futures Trading Commission.