- Consumer Financial Protection Bureau
- FCPA/Anti-Corruption and Anti-Bribery
- Financial Services Regulatory & Enforcement
- Investment Management
- Litigation & Dispute Resolution
- Banking & Finance Litigation
- Internal Investigations
- Securities Litigation & Enforcement
|Contact Info||Telephone: 212 506 2178|
Fax: 212 262 1910
|University ||Rutgers University, B.A., with highest honors|
|Law School||Cornell Law School, J.D.|
|Admitted||1995, Connecticut; 1995, Maryland; 1997, District of Columbia. (Not admitted in New York)|
Richard M. Rosenfeld is co-lead of Mayer Brown's US Securities Litigation & Enforcement group working from both the Washington, DC and New York offices.
Richard has nearly 17 years of experience practicing in the securities field, including more than a decade in government regulatory and enforcement positions. Most recently, he was asked to return to the government from private practice in the midst of the financial crisis to serve as Chief Investigative Counsel in the Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP).
In his role at SIGTARP, Richard helped build and lead a team of top white collar, securities and bank fraud specialists tasked with conducting criminal and civil investigations into some of the most complex bank, securities and mortgage frauds in US history. He managed more than 80 lawyers, federal agents, accountants and analysts pursuing more than 150 investigations. Additionally, he led SIGTARP's involvement in several of the TARP-related bailout programs, including the investment management agreements for the more than $100 billion Public/Private Investment program.
In private practice, Richard represents financial institutions, funds, companies and individuals in a variety of business, regulatory and compliance issues. He advises on transactions, policies and procedures, investigations, regulatory enforcement and litigation before the SEC, other financial services regulators and the US Department of Justice. These matters typically involve allegations of fraud, whether it be financial reporting violations, insider trading, market manipulation, or other regulatory or compliance issues. Richard has substantial securities litigation experience in the federal courts, in addition to leading internal investigations and advising clients on regulatory compliance, corporate governance and other SEC-related issues.
Earlier in his career, he served in the Division of Enforcement at the SEC. During his time with the Commission, he handled some of the most complex securities frauds in SEC history and was detailed as a special prosecutor to multiple US Attorney's offices across the country to assist in matters involving cross border money laundering, tax evasion and securities, bank, mail and wire fraud. He ended his career with the Commission as the first and only internationally based SEC representative in London where he organized, managed and directed one of the largest multinational financial fraud litigations in SEC history and worked with the highest ranking regulators of several countries to address cooperation in international securities matters.
Richard was a partner at two prominent firms in London and Washington, DC prior to his return to the government to assist with the bailout.
Documents by this lawyer on Martindale.com
US Second Circuit Heightens the Standard of Proof Required To Sustain Tipper/Tippee Insider Trading Convictions
Melanie M. Burke,Joseph De Simone,William Michael,Richard M. Rosenfeld,Matthew A. Rossi, February 26, 2015
On December 10, 2014, in United States v. Newman, et al., the US Court of Appeals for the Second Circuit clarified the elements required to establish insider trading in tipper/tippee cases by holding that “in order to sustain a conviction for insider trading, the government must prove beyond...
US Department of Justice Brings Its First Criminal Prosecution for Spoofing of Commodities Markets
Matthew Bisanz,Marcus A. Christian,Mark G. Hanchet,Alex C. Lakatos,Richard M. Rosenfeld, October 17, 2014
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act (“CEA”) and committing commodities fraud. The prosecution is the...
US Securities and Exchange Commission Settles Its First Whistleblower Anti-Retaliation Case
Marcus Christian,Adam D. Kanter,Stephanie M. Monaco,Jerome J. Roche,Richard M. Rosenfeld, July 4, 2014
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission’s first whistleblower anti-retaliation case. As part of the settlement order, the SEC charged Paradigm Capital Management, Inc., a registered investment adviser, and...
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