Helen Gugel
Counsel
Helen Gugel is counsel 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
- 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)
Education
- 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
Admissions / Qualifications
Qualifications
- New York, 2011
- Massachusetts, 2011
Awards
- The Best Lawyers in America – Ones to Watch (2021)
- Law360 Rising Stars (2020)
- Burton Awards: Law360 Distinguished Legal Writing Award 2018