Michael D Wolk

Practice Areas

MIKE WOLK focuses his practice on SEC, exchange and FINRA compliance and enforcement matters, with a particular focus on equity and fixed income trading and sales practice issues. During the last 25 years Mike has practiced in the securities industry; he has represented broker-dealers, associated persons, investment advisers, hedge funds, public companies, exchanges and self regulatory organizations in highly complex investigations and hearings; he has conducted internal investigations and has been an expert witness and consultant on trading issues in Federal Court, FINRA proceedings and arbitrations. Mike also regularly counsels his clients on regulatory and compliance issues. He is a member of Sidley’s global Securities Enforcement and Regulatory practice.

Before private practice, he served as vice president and chief counsel of the Market Regulation Department at the NASD (now FINRA). In that position he managed the legal section of the department; oversaw enforcement investigations and disciplinary litigation; and provided advice and counsel to NASD staff, industry professionals and lawyers. Mike served as a branch chief of the Division of Enforcement at the SEC, where he was responsible for supervising and conducting investigations of insider trading, accounting fraud and manipulation. He also previously worked for the IRS in the Criminal Tax Division, Office of Chief Counsel, in Washington, D.C., where he helped negotiate a memorandum of understanding between the Departments of Justice and Treasury concerning investigatory jurisdiction of money laundering crimes.