Joseph L. Zales (Joe)

• Global bank in multiple regulatory inquiries into allegations of religious and political debanking.
• Public-company chairman and CEO in SEC and DOJ investigations and a criminal trial into alleged insider trading in company stock, including the first-ever criminal charges for trades under a 10b5-1 plan.
• Global financial institution in litigation in the Southern District of New York involving allegations of foreign exchange market manipulation.
• Senior executives of leading financial institution in an investigation by SDNY and the SEC into allegations of insider trading.
• Digital asset and digital payment companies with respect to potential legislation.
• Leading cryptocurrency exchange in regulatory and compliance counseling.
• 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.
• 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.

Joe Zales helps financial institutions, public companies, investment managers, and senior executives navigate high-stakes government investigations, regulatory enforcement actions, internal investigations, and complex litigation. Drawing on his firsthand experience at a global financial institution, he advises clients facing significant legal, regulatory, and reputational risks, helping them respond to scrutiny from U.S. and international authorities and resolve sensitive matters efficiently and effectively.

Clients rely on Joe to help manage government inquiries, assess risk, develop investigative strategies, and navigate complex enforcement proceedings. He regularly counsels companies and executives in matters involving insider trading, market manipulation, and other alleged violations. He has recently helped several leading financial institutions and their executives navigate some of their most sensitive matters with significant business and reputational implications. Joe also advises clients, including those in the digital assets space, on evolving regulatory issues, helping them address compliance and enforcement challenges in a dynamic environment.

With a practical understanding of the financial services sector from his prior work experience, Joe helps clients through complex investigations with an approach that reflects both the realities of their businesses and the expectations of regulators and enforcement authorities.