Caitlin M.R. Mandel
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Caitlin is an experienced defense attorney who focuses her practice on representing clients, both corporate and individual, in investigations and enforcement actions before the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the Consumer Financial Protection Bureau (CFPB), the U.S. Commodity Futures Trading Commission (CFTC), state Attorneys General, and Congress, among others. Caitlin has many years of experience counseling her financial institution clients with regard to compliance with consumer protection and securities laws and regulations.
Key Matters
Some of the experience represented below may have been handled at a previous firm.
- Representing a major financial institution in coordinated investigations by the CFPB and state attorneys general relating to its partnership with an e-wallet provider
- Representing an executive at a pharmaceutical company in an investigation by the SEC into alleged insider trading
- Representing an executive of a wellness company in an investigation by the SEC related to alleged fraudulent public disclosures
- Representing a major financial institution in coordinated investigations by multiple regulators, including CFPB, the Office of the Comptroller of the Currency, and the Federal Reserve Board, relating to consumer account opening processes
- Representing a special purpose acquisition company (SPAC) in the SEC’s first enforcement action relating to a SPAC transaction
- Representing a major financial institution in a CFTC investigation relating to oversight of its clearing fees process
- Representing a social media company relating to Congressional and regulatory investigations of its content moderation policies
- Representing a company relating to a CFPB investigation into its student loan servicing practices
- Representing the Audit Committee of a public company in investigating whistleblower allegations relating to financial reporting practices
- Representing a real estate investment trust (REIT) in an SEC investigation relating to valuation practices
- Representing an executive of a cryptocurrency company in an SEC investigation
- Representing a broker-dealer in SEC and FINRA investigations regarding violations of the Market Access Rule
- Representing a broker-dealer in SEC and New York State Attorney General investigations of dark pools, including allegations of “masking” order executions
- Representing a mortgage loan company in a broad congressional inquiry relating to its corporate governance
- Representing a broker-dealer relating to a U.S. Department of Justice investigation into potential anti–money laundering violations by a financial advisor
- Counseling a credit union in defending against a third-party subpoena
- Representing a broker-dealer in investigations by several regulators relating to the sale of low-priced securities
- Advising a financial institution facing a regulatory inquiry into its automobile lending practices
- Representing an annuities company in a state-level regulatory investigation