Helen Gugel is an associate in the Litigation and Enforcement group. She advises clients on government and internal investigations, enforcement proceedings, and related litigation and compliance matters. Her clients have included global financial institutions, investment advisers, public companies, and individuals.
Helen has been an adjunct professor at the Fordham University School of Law, where she taught Legal Writing and Research, and a Special Assistant District Attorney in Kings County. Prior to joining the firm, Helen clerked for the Honorable Shira A. Scheindlin in the Southern District of New York.
Securities and Futures Enforcement:
- Counsel to numerous private equity fund managers, hedge funds, mutual funds, and other investment advisers in connection with SEC examinations and enforcement matters, including responses to deficiency letters and investigative subpoenas.
- Represented multinational financial services firm in responding to regulatory inquiries and exams, with a focus on futures and swaps trading.
Government and Internal Investigations:
- Represented public company in internal investigation and self-reporting to DOJ of issues relating to FCA.
- Represented executive in an off-label promotion investigation of pharmaceutical company arising out of qui tam suit.
- Represented multinational corporation in connection with bribery investigation.
- Represented numerous individuals in benchmark manipulation investigations.
- Represented independent broker-dealer and affiliated entity in federal and state litigation involving breach of contract and wrongful termination dispute.
- Represented pharmaceutical company in securities fraud appellate litigation.
- Represented plaintiffs in class action regarding unlawful use of force in city jails.
- Represented defendant in felon-in-possession federal criminal action.
- Represented plaintiff in Bivens action alleging inadequate medical treatment.
- Co-author, “In the Wake of the DAO Report: A Year in Review,” Bloomberg BNA Securities Law Daily (July 30, 2018)
- Co-author, “Mass. Crackdown Reflects Increased State Regulation Of ICOs,” Law360 (April 11, 2018)
- Co-author, “Regulating the Future: The Enforcement Landscape for Virtual Currency,” Bloomberg BNA’s Big Law Business (March 15, 2018)
- Co-author, “A Broad Regulatory Push To Rein In Burgeoning ICO Market,” Law360 (March 6, 2018)
- Co-author, “CFTC Reasserts Its Role In Virtual Currency Regulation,” Law360 (January 25, 2018)
- Co-author, “Year in Review: Recent Developments in CFTC Enforcement,” Bloomberg BNA Securities Regulation & Law Report (January 22, 2018)
- Co-author, “Supreme Court Applies Five Year Statute of Limitations To SEC Disgorgement Claims in Kokesh v. SEC,” Bloomberg BNA’s The United States Law Week (June 22, 2017)
- Co-author, “10th Circuit Ruling on SEC’s Use of Administrative Law Judges Creates Circuit Split,” Westlaw Journal Securities Litigation & Regulation (April 27, 2017)
- Co-author, “SEC Enforcement Landscape Post-Gabelli,” Bloomberg BNA Securities Regulation & Law Report (March 13, 2017)
- Co-author, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations - Second Edition, Bloomberg BNA (2016)
- Co-author, “CFTC whistleblower reward program overcomes its growing pains,” Westlaw Journal Derivatives (October 6, 2016)
- Co-author, “Ropes & Gray Discusses SEC Whistleblower Enforcement and Severance Agreements,” Columbia University Law School “Blue Sky Blog” (September 21,2016)
- “Sentencing Guidelines for Insider Trading: Recent Amendments Create Greater Disparity,” Federal Sentencing Reporter, Christopher Conniff, Steven Goldschmidt and Helen Gugel (October 2013)
- "Remaking the Mold: Pursuing Failure-to-Protect Claims Under State Constitutions Via Analogous Bivens Actions," 110 Columbia Law Review 1294 (June 2010)