Allison B. Shealy
Allison Baker Shealy brings extensive experience on both sides of the enforcement aisle to guide clients through the complicated national and international regulatory environment that governs today's complex financial transactions. Whether it is futures, Forex, swaps, securities or complex lending and/or organizational arrangements, she is able to quickly get to the heart of the matter and work with clients for the best possible resolution. Regardless of the size or complexity of a matter, clients receive the same thorough and effective representation.
As a Senior Trial Attorney in the U.S. Commodity Futures Trading Commission’s Division of Enforcement, Allison investigated and litigated matters involving manipulation, spoofing, wash trading, solicitation fraud, misappropriation of customer funds, commodity pool fraud, Ponzi schemes, and unauthorized trading. She also worked with futures commission merchants (“FCMs”) and retail foreign exchange dealers (“RFEDs”) to bring them into compliance with the CFTC’s requirements regarding regulatory capital and segregation of customer funds and to engage in undertakings to reduce the likelihood of such violations in the future. While at the CFTC, Allison worked on such precedent setting matters as the first case charging a manipulative device and the first case bringing charges pursuant to the business conduct standards for swap dealers under the Dodd-Frank Act, as well as one of the first cases to charge an RFED with a failure to supervise its employees and agents.
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