Icon close

Close

People

Joseph L. Zales represents global financial institutions, public companies, investment managers, and senior executives in high-risk government and internal investigations and complex litigation.  In particular, he defends clients in regulatory enforcement actions, white-collar criminal matters, and securities and shareholder litigation.   Mr. Zales has experience counseling clients facing investigations before the U.S. Department of Justice, Securities and Exchange Commission, Commodity Futures Trading Commission, Congress, the NYSE, the Dutch Public Prosecutor’s Office, as well as other domestic and international authorities.

Mr. Zales is an Associate in King & Spalding’s Special Matters and Government Investigations Practice Group, which has twice been recognized by Law360 as “White-Collar Group of the Year” and has been described as “the premier firm in this practice area” by the U.S. News & World Report/Best Lawyers’ “Best Law Firms” survey.

Mr. Zales earned his J.D. (magna cum laude) from Notre Dame Law School in 2016, where he served as Notes Editor of the Notre Dame Journal of International and Comparative Law, and as Selection Chair on the Notre Dame Moot Court Board.  During law school, Mr. Zales briefed and argued a habeas petition before the Seventh Circuit Court of Appeals and participated in the Securities and Exchange Commission’s Summer Honors Program.  Mr. Zales received his B.A. (cum laude) in Political Science from Villanova University in 2011.  Mr. Zales is a board member of Notre Dame Lawyers of New York City.  Prior to attending law school, he was employed with Morgan Stanley in New York, where he worked on both the sell- and buy-sides.

Full Bio

Credentials

J.D., Notre Dame Law School, magna cum laude

B.A. Political Science, Villanova University, cum laude

New York

U.S. District Court for the Eastern District of New York

U.S. District Court for the Northern District of New York

William T. Kirby Award for Excellence in Brief Writing


Notre Dame

Icon close

Close

Recognition

William T. Kirby Award for Excellence in Brief Writing


Notre Dame

Matters

Senior executives of a global financial institution in an investigation by SDNY and the SEC into allegations of insider trading.

Hedge fund in connection with internal review of certain cryptocurrency trading practices.

Senior executive of a broker-dealer in connection with an NYSE investigation into market manipulation.

See more
Icon close

Close

Matters

Senior executives of a global financial institution in an investigation by SDNY and the SEC into allegations of insider trading.

Hedge fund in connection with internal review of certain cryptocurrency trading practices.

Senior executive of a broker-dealer in connection with an NYSE investigation into market manipulation.

Global financial institution in litigation in the Southern District of New York involving allegations of foreign exchange market manipulation.

Financier in internal investigation into allegations of insider trading.

VC-backed FinTech company in regulatory inquiries and counseling regarding cutting-edge product offerings.

Global financial institutions in FINRA exams, with particular focus on Regulation SHO compliance.

Financier and film producer in connection with post-conviction issues pertaining to investment adviser, securities, and wire fraud convictions.

International chemical company in international anti-corruption internal and government investigations and compliance counseling in SE Asia, China, India, Africa, and other geographies.

Individual employee of an investment adviser in an SEC investigation relating to collateralized debt obligations and relationships with collateral managers.

Investment adviser in connection with an SEC pay-to-play investigation.

Forex Capital Markets LLC in CFTC investigation and litigation in the Southern District of New York alleging capitalization, reporting, and marketing violations, as well as in related federal securities class actions.

Matters

Senior executives of a global financial institution in an investigation by SDNY and the SEC into allegations of insider trading.

Hedge fund in connection with internal review of certain cryptocurrency trading practices.

Senior executive of a broker-dealer in connection with an NYSE investigation into market manipulation.

See more
Icon close

Close

Matters

Senior executives of a global financial institution in an investigation by SDNY and the SEC into allegations of insider trading.

Hedge fund in connection with internal review of certain cryptocurrency trading practices.

Senior executive of a broker-dealer in connection with an NYSE investigation into market manipulation.

Global financial institution in litigation in the Southern District of New York involving allegations of foreign exchange market manipulation.

Financier in internal investigation into allegations of insider trading.

VC-backed FinTech company in regulatory inquiries and counseling regarding cutting-edge product offerings.

Global financial institutions in FINRA exams, with particular focus on Regulation SHO compliance.

Financier and film producer in connection with post-conviction issues pertaining to investment adviser, securities, and wire fraud convictions.

International chemical company in international anti-corruption internal and government investigations and compliance counseling in SE Asia, China, India, Africa, and other geographies.

Individual employee of an investment adviser in an SEC investigation relating to collateralized debt obligations and relationships with collateral managers.

Investment adviser in connection with an SEC pay-to-play investigation.

Forex Capital Markets LLC in CFTC investigation and litigation in the Southern District of New York alleging capitalization, reporting, and marketing violations, as well as in related federal securities class actions.

Credentials

J.D., Notre Dame Law School, magna cum laude

B.A. Political Science, Villanova University, cum laude

New York

U.S. District Court for the Eastern District of New York

U.S. District Court for the Northern District of New York

William T. Kirby Award for Excellence in Brief Writing


Notre Dame

Icon close

Close

Recognition

William T. Kirby Award for Excellence in Brief Writing


Notre Dame