Zoe Phillips

Zoe Phillips focuses her practice on representing financial institutions and their employees in investigations by the US Securities and Exchange Commission, Financial Industry Regulatory Authority, US Department of Justice, Commodities Futures Trading Commission and other governmental and regulatory authorities and conducting related internal investigations. Recent representations include matters relating to off-channel communications, 529 college savings plans, algorithmic trading strategies, supervision of concentrated positions, employee outside investment accounts and Consolidated Audit Trail reporting. Zoe is a primary author of Morgan Lewis’s SEC and FINRA Enforcement Developments Year in Review publication and a frequent presenter at broker-dealer CLE programs.

4d. BD LAB – Modernizing Records Management:  One Year Later (Advanced - CLOSED)