Ben Rosenblum’s practice focuses on enforcement and regulatory matters.

Ben has represented financial institutions, public companies, individual executives, and employees in SEC, CFTC, FINRA, and other investigations, as well as in litigation against the government and private parties.  In addition, Ben advises public companies, investment advisers, and broker-dealers on regulatory matters including compliance issues, as well as collateral consequences stemming from litigation and regulatory matters.

Ben joined the firm in 2019.

Notable Experiences

  • A major securities trading firm in connection with several regulatory matters before the SEC and FINRA involving market structure issues.

  • A global financial institution in connection with collateral consequences stemming from multiple civil and criminal actions brought against the institution and its worldwide affiliates.

  • The CEO of a major digital asset company in connection with an investigation by, and high-profile litigation with, the SEC regarding the status of tokens as securities.

  • Multiple public companies in SEC investigations into accounting and disclosure issues.

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Selected Activities

Softball Captain, Virginia Law Review, University of Virginia School of Law