Robert Long previously served as a senior attorney at the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), and as a federal prosecutor with the U.S. Department of Justice (DOJ). Rob defends clients in government investigations and prosecutions, spearheads special investigations, and advises financial services firms and market participants on regulatory, compliance, and cryptocurrency matters.
SEC Attorney Experience
Rob spent over ten years at the SEC in various capacities—Trial Attorney, Branch Chief, Senior Counsel, and Staff Attorney. In the SEC’s Division of Enforcement, Rob led enforcement litigation in federal courts and administrative proceedings, and directed/conducted complex investigations that resulted in significant enforcement actions, including halting a $160 million Ponzi scheme, charging a Fortune 500 company with FCPA violations, charging a Fortune 1000 company with accounting fraud, and prosecuting multiple insider trading cases and sophisticated market manipulation schemes. Rob also served in the SEC’s Division of Market Regulation (now the Division of Trading and Markets) where he reviewed market rules and analyzed market structure issues. While at the SEC, Rob served in the SEC’s Fort Worth and Washington, DC offices.
FINRA Attorney Experience
As a Senior Regional Counsel in FINRA’s Department of Enforcement in Dallas, Rob investigated violations of FINRA, SEC, and Municipal Securities Rulemaking Board (MSRB) rules, and the federal securities laws. Rob successfully handled enforcement cases involving high-frequency trading, complex products, inadequate anti-money laundering (AML) compliance programs, due diligence violations, supervision failures, misrepresentations in oil and gas offering materials, unsuitable recommendations, net capital violations, and broker misconduct.
DOJ Attorney Experience
Rob is also a former federal prosecutor. As an Assistant U.S. Attorney (AUSA) for the District of Arizona in the Economic Crimes and Public Integrity Unit and as a Special AUSA for the Northern District of Texas, Rob worked closely with various law enforcement agencies, such as the Federal Bureau of Investigation (FBI), Internal Revenue Service (IRS), U.S. Secret Service, and Postal Inspection Service, to prosecute high-profile white collar and public integrity cases. His cases included a 12 defendant mortgage and loan fraud scheme, a “politically sensitive” case of “extreme importance,” and an oil and gas offering fraud scheme that was included in The President’s Financial Fraud Enforcement Task Force. As a former federal prosecutor, Rob is versed in overt and covert investigative tactics.
More Legal and Business Bylines From Robert Long
- Proposed Legislation Would Create a Tiered Exemption from Broker Registration - (Posted On Wednesday, August 09, 2023)
- Supreme Court Opens Courthouse Doors to Challenges Concerning Constitutionality of Federal Agency Review Process - (Posted On Friday, April 21, 2023)
- Congress Codifies Longstanding M&A Broker Exemption from SEC Registration - (Posted On Monday, January 30, 2023)
- SEC v. LBRY, Inc.: The SEC’s Latest Crypto Victory - (Posted On Thursday, November 10, 2022)
- Crypto Showdown: SEC’s Lawsuit Against Ripple Labs Reaches Critical Juncture - (Posted On Wednesday, November 02, 2022)
- FINRA Releases Updated Guidelines and Sanctions for Securities Rule Violations - (Posted On Monday, October 24, 2022)
- 5th Circuit Court of Appeals Sides With Company Whose Privileged Documents Were Seized in DOJ Raid - (Posted On Thursday, September 23, 2021)
- FINRA Releases Guidance on Retail Communications Concerning Private Placement Offerings - (Posted On Monday, July 13, 2020)