Lawyer profile for USA 2021
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Securities: Regulation: Enforcement - USA - Nationwide
This content is provided by Michael D Wolk
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.
Mike is a frequent speaker at financial industry seminars. 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 conducting investigations of insider trading, accounting fraud and manipulation.