Charles R Mills

Practice Areas

Mr. Mills practices in the areas of derivatives, commodities, crypto and securities trading law. Market participants of all kinds turn to Mr. Mills for his deep knowledge of the regulatory agencies, the law, trading dynamics, and the markets. He represents clients in government, exchange and SRO investigations and prosecutions, and private federal court actions. He also advises clients on compliance with CFTC, FERC, SEC, exchange, NFA, and FINRA rules. Clients place their trust and confidence in him based on his long history of outstanding advocacy and results in government and SRO investigations and prosecutions as well as in private claims, and on his sound, practical, and timely regulatory compliance advice, informed by his decades of experience. He has tried over 60 court cases, administrative proceedings and arbitrations to successful outcomes and prevailed for clients in many federal appeals.

Mr. Mills is a former chair of the ABA’s Derivatives and Futures Law Committee and has long served on the NYC Bar's Committee on Futures and Derivatives Regulation. He also served two terms on the Executive Committee of the FIA’s Law and Compliance Division. He is a co-author of the leading derivatives law treatise Derivatives Regulation, Second Edition (Wolters Kluwer) and was a co-author of Broker-Dealer Regulation (PLI 2021) and The Securities Enforcement Manual (ABA, 2007). He is on the board of editors of the Futures & Derivatives Law Report (Thomson Reuters), and he taught courses in derivatives and securities law at Georgetown University Law Center as an adjunct professor for 21 years.

Professional Memberships

American Bar Association; Bar Association of the City of New York; Energy Bar Association; Futures & Derivatives Law Report, Board of Editors; Futures Industry Association Law & Compliance Division; American Bar Foundation, Lifetime Fellow

Personal

Georgetown University Law Center, J.D., 1977, Dean's List

Occidental College, B.A., 1974, cum laude

President of the Board of Trustees of the Foundation for the Benedictine School for Exceptional Children, Inc.