About Anna Easter
Anna Easter represents clients in enforcement proceedings involving the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC) and various self-regulatory organizations (SROs). She also counsels financial institutions, exchanges, clearinghouses, brokers, dealers, advisors and trading firms in the derivatives and securities industry on a range of regulatory and compliance issues.
Regulatory insight from both sides of the table
With more than 15 years of experience in the derivatives and securities industry, Anna has developed a keen understanding of the financial markets and their regulatory requirements. As a former regulator with the National Futures Association (NFA), she was responsible for bringing disciplinary actions against Members who violated NFA rules.
Anna has also represented firms and individuals in investigations and enforcement actions brought by the SEC, CFTC and various SROs, involving disruptive trading practices, fraud, anti-money laundering, risk management, recordkeeping and supervisory failures, among other matters. She has also counseled clients on novel regulatory questions involving derivatives, as well as registration and regulatory obligations under the Commodity Exchange Act and CFTC and NFA rules.
Practice Focus
- SEC, CFTC and SRO enforcement proceedings
- NFA and Financial Industry Regulatory Authority (FINRA) investigations and disciplinary actions
- Disruptive trading, fraud and anti-money laundering matters
- Risk management, recordkeeping and supervisory failures
- Derivatives and securities regulatory compliance
- Registration and regulatory obligations under the Commodity Exchange Act and CFTC and NFA rules
