About Peter G. Wilson

The financial services industry is under constant scrutiny from regulators. Peter Wilson’s familiarity with the business of financial services firms, as well as the regulatory landscape, allows him to quickly assess clients’ potential legal exposure and identify the best solutions. He represents financial firms in regulatory inquiries, criminal investigations and high-stakes litigation, advising them on how to effectively interact with the government and to bring an efficient end to proceedings.

Regulatory insight

As a former attorney at the Consumer Financial Protection Bureau, Peter understands how regulators think and set priorities. He's guided clients through probes by the Securities and Exchange Commission, the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority and options and futures exchanges. With his ability to speak the language of the financial world and his fluency with its most esoteric products, he doesn’t need time to understand the issues his clients are facing.

Peter has represented clients accused of manipulating markets, defrauding investors and engaging in anticompetitive behavior. A significant part of his practice involves representing corporate boards and corporate monitors charged with investigating whether companies have installed sufficient controls to prevent misconduct.

His government experience, including his work enforcing the Dodd-Frank Act, positions him to craft arguments that resonate with regulators. In numerous situations, he has persuaded regulators to refrain from taking any action against his client, whether based on inadequate training given to an executive, unfairness concerns with applying an obscure regulation or other compelling reasons. Whatever the issue, Peter seeks to bring about speedy resolutions that allow businesses to keep operating as profitably as possible.

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Practice Focus

  • Financial services regulation and compliance
  • Securities litigation and enforcement
  • White collar and internal investigations
  • Corporate monitorships
  • Consumer finance litigation
  • Internal investigations

Representative Experience

  • Represent a multinational investment bank in class action antitrust lawsuits in the interest rate swaps and stock lending markets.
  • Represent proprietary trading firms and investment banks in investigations by the DOJ, CFTC, SEC, FINRA, and futures and stock exchanges, and in related private litigation, involving manipulation, disruptive trading, and spoofing in futures and equities markets.
  • Represented proprietary trading firm and its principal in litigation initiated by CFTC alleging spoofing and manipulation in futures markets.
  • Represented large investment bank in a CFTC inquiry into allegations of anti-competitive conduct.
  • Represent large national bank in parallel criminal and civil inquiries by Department of Justice concerning compliance with Bank Secrecy Act and anti-money laundering requirements. 
  • Represented Chief Compliance Officer of a registered investment adviser in an SEC enforcement investigation, resolving matter without charges.
  • Represented the Chief Executive Officer of a technology firm in an SEC enforcement investigation involving financial reporting, resolving the matter without charges.
  • Represented the Chief Compliance Officer of a registered broker-dealer in a FINRA enforcement investigation involving market access and anti-money laundering issues, resolving the matter without charges.
  • Represent independent compliance monitor of a multinational pharmaceutical company convicted of violations of the Foreign Corrupt Practices Act.
  • Represent special litigation committees of the Boards of Directors of two pharmaceutical companies in investigations into shareholders' derivative allegations of accounting and disclosure fraud.
  • Represent hospitals in self-disclosures to US Attorney's Office regarding potential health care fraud, resolving the matters without charges.

Presentations and Events