Elizabeth L. Mitchell

Elizabeth L. Mitchell has more than twenty years’ experience representing financial institutions, broker-dealers, investment advisers, and public companies in regulatory enforcement matters and litigation involving the federal securities laws and other sensitive matters. Strategic and results-oriented, Ms. Mitchell has been recognized for her ardent advocacy, her unique combination of public company and securities trading and markets experience, and her ability to achieve risk-balanced solutions in multifaceted and bet-the-company cases. She is ranked in Chambers USA (Nationwide) for her work in financial services regulation and broker dealer enforcement, where clients note her “extremely pragmatic, very thoughtful and creative” approach to helping clients achieve regulatory and business objectives.

Ms. Mitchell represents clients before a wide range of federal and state regulatory agencies and self-regulatory organizations, including the Commodity Futures Trading Commission, the Department of Justice, the Financial Industry Regulatory Authority, the Securities and Exchange Commission, and state attorneys general.  She also has significant experience conducting internal investigations on behalf of management and boards and regularly provides strategic advice to clients on regulatory expectations and requirements applicable to public companies and financial market participants. She has deep subject matter expertise with regard to governance, alleged fraud, manipulation and insider trading, market conduct and trade practices, algorithmic trading, information barriers and polices to prevent the misuse of confidential information and broker-dealer and investment adviser compliance considerations.