Clients turn to Helen Gugel for counsel on high-stakes government and internal investigations and litigation. A partner in Ropes & Gray’s litigation & enforcement practice, Helen represents companies, investment advisers, executives and boards of directors in both civil and criminal matters.
Helen has extensive experience handling investigations and complex government enforcement and regulatory matters relating to market misconduct or potential violations of federal securities and commodities laws. She has represented clients before the U.S Department of Justice, Securities and Exchange Commission, Commodity Futures Trading Commission (CFTC), and self-regulatory organizations such as the Financial Industry Regulatory Authority, among others. She also works with clients to anticipate and mitigate compliance risk. Helen has received national recognition for her securities experience and was recently recognized as one of the Top 20 U.S. Power Women in Crypto by Citywealth. She is also co-author of a leading practitioner’s guide on commodities and futures enforcement published by Bloomberg.
Beyond her regulatory work, Helen conducts internal and independent investigations into allegations of serious wrongdoing, including unlawful or unethical business practices, workplace harassment and other misconduct. A sensitive counselor with excellent interpersonal skills and a calm demeanor, Helen is known for her ability to navigate complex and sensitive issues with the highest level of integrity.
Helen has served as a Special Assistant District Attorney in Kings County, and in 2018, played a leading role in the independent investigation commissioned by the U.S. Olympic and Paralympic Committee into Larry Nassar’s abuse of elite athletes. Her work earned her a Law360 “Rising Star” designation.
In addition, Helen maintains a robust pro bono practice focused on criminal defense and criminal justice reform. Prior to joining Ropes & Gray, she clerked for the Honorable Shira A. Scheindlin in the Southern District of New York and worked with several nonprofits in India, Nepal, and Rwanda focused on empowering women.
- Co-author, “Why Crypto Developers Must Beware of Legitimacy Scrutiny,” Law360 (December 21, 2022)
- Co-author, “SEC v. LBRY: Examining the implications of the SEC's latest victory for cryptocurrency and digital asset markets,” WestLaw Today (December 19, 2022)
- Co-author, “Further EU and UK developments in financial crime regulation of cryptoassets,” Westlaw Today (August 17, 2022)
- Co-author, “Ropes & Gray Crypto Quarterly: Digital Assets, Blockchain and Related Technologies Update,” Ropes & Gray Alert (July 21, 2022)
- Co-author, “SEC Enforcement: A Practical Guide for Private Equity Fund Managers,” The Securities Litigation Review (June 3, 2022)
- Co-author, “What To Expect Under New SEC Enforcement Director Grewal,” Law360 (July 30, 2021)
- Co-author, “SEC Enforcement: A Practical Guide for Private Equity Fund Managers,” The Securities Litigation Review, Seventh Edition (July 2021)
- Co-author, “FinCEN Civil Enforcement and Virtual Currency,” Bloomberg Law (February 7, 2020)
- Co-author, “Applying SEC Regulation of Digital Tokens, Post-DAO,” Bloomberg Law (September 2019)
- Co-author, “In the Wake of the DAO Report: A Year in Review,” Bloomberg Law (September 2019)
- 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)
- Panelist, “Workplace misconduct investigations: complexities, challenges and opportunities,” The Legal 500 Disputes Summit New York (September 20, 2022)
- JD, Columbia University School of Law
- BA, with Honors, Wesleyan University
Admissions / Qualifications
- New York, 2011
- Massachusetts, 2011
- Citywealth Top 20 USA Power Woman in Crypto (2022)
- The Best Lawyers in America – Ones to Watch (2021-2023)
- Law360 Rising Stars (2020)
- Burton Awards: Law360 Distinguished Legal Writing Award 2018