Key Experience

  • Represents companies and individuals in high-stakes, white collar and regulatory investigations and litigation.
  • Served for five years as a federal prosecutor and four years as an enforcement attorney at the Securities and Exchange Commission (SEC).

Practice

Mike Asaro focuses on white collar criminal defense, SEC and Commodity Futures Trading Commission (CFTC) investigations, corporate internal investigations and complex commercial litigation.  

Representative Work

  • Conducted an internal investigation on behalf of Audit Committees for two public companies. The matter involved allegations of accounting improprieties in a joint venture.
  • Represented hedge funds and their employees in connection with multiple investigations by the SEC, DOJ and U.S. Congress into issues related to the application of insider trading rules to the political intelligence industry under the STOCK Act.
  • Defended executive of international investment bank who was the target of a criminal investigation by the U.S. Attorney’s Office for the District of Massachusetts into allegedly fraudulent subprime mortgage securitizations. Convinced the U.S. Attorney’s Office to resolve the matter without any charges against the client.
  • Represented high frequency trading firm in connection with investigations by the DOJ, CFTC, and CME into alleged scheme to manipulate the futures markets through spoofing.
  • Defended a multibillion-dollar hedge fund and its founder in connection with a significant insider dealing investigation by the U.K.’s Financial Services Authority (FSA) that raised novel issues related to distinctions between U.S. and UK securities laws.

Speeches

Public Service and Affiliations

Recognition