Drawing on his extensive experience as a senior enforcement attorney with the two principal U.S. financial regulatory agencies, the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC), David Slovick’s practice focuses on enforcement and compliance matters arising under the federal laws and regulatory rules governing the derivatives and securities markets.
David represents financial services firms and individuals in investigations and litigation conducted by the CFTC, the SEC, the Financial Industry Regulatory Authority, CME Group, and other regulatory agencies and organizations. His experience covers the spectrum of enforcement and regulatory matters, including derivatives and securities trade practices, disclosure fraud, insider trading, market manipulation, issuer statutory disqualification, and derivatives and securities regulatory compliance.
Credentials
Education
- University of Wisconsin-Madison, B.A., English literature, 1994
- Chicago-Kent College of Law, J.D., 1998, president of Chicago-Kent Moot Court Honor Society, winner of Ilana Rovner Intramural Moot Court Competition
Bar Admissions
- New York
- Illinois
Court Admissions
- U.S. District Court for the Southern District of New York
- U.S. Court of Appeals for the Second Circuit
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Northern District of New York
- U.S. District Court for the Northern District of Illinois
- U.S. District Court for the Eastern District of Wisconsin