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Zoe Phillips

Associate

Zoe Phillips focuses her practice on representing financial institutions and their employees in investigations by the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), US Department of Justice (DOJ), Commodities Futures Trading Commission (CFTC), and other governmental and regulatory authorities as well as conducting related internal investigations. Zoe also counsels clients on regulatory and compliance issues.

  • Represented senior employees of a broker-dealer in SEC investigation of off-channel communications on personal devices
  • Represented broker-dealers in SEC and FINRA investigations related to 529 college savings plans
  • Represented broker-dealers in FINRA investigations of firm systems for monitoring employee outside investment accounts and for potential insider trading
  • Represented broker-dealers in FINRA investigations related to SEC Rule 15c3-3 (Customer Protection Rule), including compliance with the regulations’ possession or control requirements
  • Represented broker-dealer in FINRA investigation of the supervision of concentrated positions
  • Represented an individual in an NYSE Regulation investigation regarding the use of algorithmic trading strategies
  • Represented broker-dealers in FINRA investigations related to Unit Investment Trust (UIT) suitability and supervision
  • Represented broker-dealer in FINRA investigation related to prospectus delivery requirements and supervision
  • Defended a former CEO of a for-profit education company against SEC charges in federal court, resulting in a favorable settlement on the eve of trial
  • Represented companies in Foreign Corrupt Practices Act (FCPA) investigations involving related inquiries by the DOJ and SEC
  • Represented global bank in CFTC foreign exchange trading investigation
  • Represented broker-dealers in FINRA investigations related to Write Once, Read Many (WORM) compliance, including record maintenance, retention, and audit requirements
  • Represented individual in FINRA investigation involving alleged failure to supervise under FINRA Rule 3110
  • Represented broker-dealers in FINRA investigations related to SEC Rule 15c3-1 net capital requirements
  • Represented former senior manager of automobile manufacturer in DOJ vehicle emission investigation
  • Represented global digital currency exchange in DOJ/CFTC investigations and state litigation
  • Represented individual in DOJ cryptocurrency investigation
  • Fordham University School of Law, 2015, J.D., Cum Laude
  • Bates College, 2010, B.A., Cum Laude
  • New York

Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)

Recipient, Fordham Law Alumni Association Medal in Constitutional Law (awarded to the member of the graduating class who excelled in Constitutional Law)

Recipient, Hugh R. Jones Award (awarded to the student in the graduating class who attained the highest combined weighted average in the subjects of Constitutional Law, Criminal Justice and Professional Responsibility)

Interschool Competitions Editor, Brendan Moore Trial Advocacy Center

Associate Editor, Fordham Intellectual Property, Media & Entertainment Law Journal