Co-Head of Investment Management Regulatory and Enforcement. Represents clients in their most significant enforcement proceedings and regulatory investigations

Drawing on his experience both as a former enforcement attorney with the US Securities and Exchange Commission and as a Special Assistant US 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. 

He 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.

He 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 US 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.

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• Routinely represents and advises a multinational financial services firm concerning issues arising under the federal securities and commodities laws.
• Represented a multinational financial services company in parallel investigations by the DOJ and SEC regarding trading practices and disclosure issues.
• Represented a broker-dealer in connection with parallel SEC and DOJ investigations regarding disclosures and valuation issues.
• Represented the chief financial officer of a public company under investigation for accounting fraud and manipulation of financial statements and SEC filings.
• Represented several hedge fund managers in connection with criminal and SEC insider-trading investigations.
• Represented a Fortune 500 company under investigation by the DOJ and SEC for improperly backdating stock option grants to executives and employees.
• Conducted an independent internal investigation at a billion-dollar public company into allegations of corporate malfeasance by the chief executive officer and global head of procurement.
• Represented a major energy company in New York State Attorney General’s investigation of public disclosures regarding climate change.
• Represented a significant hedge fund in connection with the New York State Attorney General’s “pay-to-play” investigations and prosecutions.
• Represented the chief financial officer of a Fortune 500 company under investigation for backdating stock options.
• Represented an attorney under investigation by the DOJ for engaging in securities fraud.
• Represented an individual under investigation by the SEC concerning penny stock transactions and corporate identity theft.
• Represented a principal investor in connection with criminal inquiry for orchestrating a fraudulent initial public offering.

• Recognized as a leading litigation attorney in:
  • Benchmark Litigation
  • The Legal 500 US
  • New York Super Lawyers
• Chairman’s Award for Excellence, US Securities and Exchange Commission, 2002

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

Admissions
New York

Courts/Agencies
US Court of Appeals, Second Circuit
US District Court, Eastern District of New York
US District Court, Southern District of New York

Clerkships
Hon. Lawrence M. McKenna, US District Court, Southern District of New York