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

Ben advises multinational financial institutions, market centers, securities trading firms, investment managers, and public companies on a variety of securities regulatory issues, including broker-dealer, investment adviser, and investment company registration, regulation, and supervision issues. Ben also routinely advises clients on collateral consequences stemming from litigation and regulatory matters.

In addition to his regulatory practice, Ben is often called on to represent and advise financial institutions, public companies, individual executives, and employees facing regulatory investigations and in related litigation. Ben’s recent work includes matters before the SEC, CFTC, and FINRA.

Ben joined the firm in 2019.

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Notable Experiences

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

  • Advising major U.S. and international financial services firms on regulatory issues for broker-dealers and investment advisers.

  • Advocating before Nasdaq and other SROs regarding disqualification rules.

  • Advising global financial institutions on collateral consequences stemming from multiple civil and criminal actions brought against the institutions and worldwide affiliates.

  • Representing 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.

  • Representing 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

Publications