Craig S. Warkol is co-chair of the firm’s Litigation Group, Broker-Dealer Regulatory & Enforcement Group and securities enforcement practice. He represents clients in their most significant enforcement proceedings and regulatory investigations. 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 assists clients with SEC examinations and represents them at all stages of investigations and enforcement cases brought by the SEC, DOJ, FINRA, CFTC and other self-regulatory organizations and state regulators. Craig has experience representing entities and individuals under investigation for, or charged with, insider trading, securities fraud, mail/wire fraud, accounting fraud, money laundering, Foreign Corrupt Practices Act (FCPA) violations and tax offenses. Craig also advises private funds on the evolving regulatory risks associated with developing technology, including blockchain, digital assets and the use of alternative data. Craig regularly leads training sessions for investment professionals on complying with insider trading and market manipulation laws, and he has developed and led compliance training sessions related to the use of alternative data, electronic communication and social media.
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.