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Carrie W. S. Sarokin is an associate in the litigation and enforcement group, where her practice focuses on representing financial firms in government enforcement actions, regulatory inquiries, internal investigations, and complex civil litigation. As part of her practice, Carrie collaborates regularly with colleagues in the firm’s corporate practice groups, including asset management, as a member of cross-practice teams focused on providing comprehensive solutions to clients.
Carrie also maintains an active pro bono practice on behalf of a diverse array of clients, including the National Women’s Law Center, Lambda Legal, the Lawyers’ Committee for Civil Rights Under Law, the Ohio Innocence Project, and individuals seeking asylum.
Experience
- Regularly represents investment management clients in SEC investigations and compliance matters including matters relating to fiduciary duty issues arising out of their receipt of fees and payment of certain expenses, as well as disclosures related to conflicts of interests.
- Regularly represents investment advisers in SEC examinations.
- Represents a major financial institution and its subsidiary in a class action brought on behalf of users of an electronic trading platform for foreign exchange transactions.
- Represented largest investment adviser in the SEC Off-Channel Investigation.
- Represented U.S.-based broker dealer of large Latin American investment bank in connection with CFTC inquiry related to Off Channel Communications.
- Successfully represented a broker-dealer in a FINRA for-cause exam related to sales practices.