Helen Gugel

Associate

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  • JD, Columbia University School of Law, 2010; Harlan Fiske Stone Scholar; executive editor, Columbia Human Rights Law Review ; Parker School of Foreign and Comparative Law Certificate of Achievement
  • BA (College of Social Studies), with honors, Wesleyan University, 2006; Baldwin Fellowship; Senior Leadership Award; Thorndike Merit Scholarship

Qualifications

  • New York, 2011
  • Massachusetts, 2011
  • Honorable Shira A. Scheindlin, U.S. District Court for the Southern District of New York (2010 - 2011)
  • Burton Awards: Law360 Distinguished Legal Writing Award 2018

Helen Gugel

Associate

Helen Gugel is an associate in the Litigation & Enforcement group. Helen focuses her practice on investigations, prosecutions and other enforcement activity relating to market misconduct or potential violations of the federal securities and commodities laws. In addition, she has substantial experience conducting investigations and advising clients regarding high-profile allegations of serious wrongdoing, including workplace harassment; sexual misconduct; and unlawful or unethical business practices. Her clients include global financial institutions, investment advisers, public companies, non-profits, schools and individuals.

Helen has published numerous articles on securities and enforcement matters and is the co-author of a practitioner guide published by Bloomberg BNA titled Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations.

Helen taught Legal Writing and Research as an adjunct professor at the Fordham University School of Law, and also served as a Special Assistant District Attorney in Kings County. Prior to joining the firm, she clerked for the Honorable Shira A. Scheindlin in the Southern District of New York.

Experience

Helen’s experience includes representation of:

Securities and Futures Enforcement

  • Numerous private equity fund managers, hedge funds, mutual funds and other investment advisers in connection with SEC examinations and enforcement matters.
  • Multinational financial services firm in responding to regulatory inquiries and exams, with a focus on futures and swaps trading.

Government, Internal and Independent Investigations

  • National sports organization in high-profile independent investigation into the abuse of athletes.
  • Public company in internal investigation and self-reporting to DOJ of issues relating to FCA.
  • Executive in an off-label promotion investigation of pharmaceutical company arising out of qui tam suit.
  • Multinational corporation in connection with bribery investigation.
  • Numerous individuals in benchmark manipulation investigations.

Litigation

  • Trader in parallel criminal and civil proceedings based on alleged spoofing activity.
  • Non-profit institution in putative class action relating to sexual misconduct allegations.
  • Independent broker-dealer and affiliated entity in federal and state litigation involving breach of contract and wrongful termination dispute. 
  • Pharmaceutical company in securities fraud appellate litigation.

Pro Bono

  • Plaintiffs in class action regarding unlawful use of force in city jails.
  • Defendant in felon-in-possession federal criminal action.
  • Plaintiff in Bivens action alleging inadequate medical treatment.

Publications

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