Corin R. Swift

CORIN SWIFT represents broker-dealers, investment advisers, and other financial institutions in complex enforcement matters and investigations brought by federal and state regulators, including state securities authorities, the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), and the U.S. Department of Justice (DOJ).

Corin has significant experience defending clients in state-led and multistate enforcement actions coordinated by state securities regulators and state attorneys general. She is frequently called upon to guide firms and public companies through matters involving sales practices, supervision, disclosure, insider trading, and broader compliance failures that carry heightened regulatory, financial, and reputational risk. Her practice regularly involves parallel proceedings before state regulators and self-regulatory organizations, as well as coordination across jurisdictions to achieve efficient and strategic resolutions.

In addition to enforcement defense, Corin conducts internal investigations and advises broker-dealers and registered investment advisers on compliance programs and supervisory systems designed to withstand regulatory scrutiny. She also has represented clients in FINRA arbitration proceedings and related litigation in state and federal courts.

Corin has been recognized as “Lawyer of the Year” in 2018 and 2015 in Securities Regulation and is listed as a “Best Lawyer” in Securities/Capital Markets Law (2014–2022, 2026), Securities Regulation (2026), and Litigation — Regulatory Enforcement (2026) by The Best Lawyers in America®. Corin is a member of Sidley’s Securities Enforcement and Regulatory group, which received the 2019 Chambers USA award for “Financial Services Regulation,” and was named “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers.

Enforcement/Investigations

• A leading global financial services firm in connection with a FINRA inquiry related to closed end funds and applicable duties of care and disclosure obligations.
• An internal investigation of a financial advisor's potential involvement in a customer's alleged fraudulent activities. Represented the broker-dealer related FINRA and DOJ investigation.
• A national broker-dealer and investment advisor in connection with DOJ investigation into activities of third-party advisor found to have engaged in fraudulent private credit scheme.
• Large financial institution in SEC investigation involving share repurchases, 10b5-1 plans and related trading issues.
• Broker-dealer and public company in multi-year SEC investigation relating to alternative investment fees and related disclosures as well as public company disclosures.
• Asset management firm in connection with SEC investigation relating to SPAC disclosures.
• National bank in connection with OCC and CFPB inquiries regarding potential “de-banking.”
• CEO of US-listed Chinese company in connection with SEC investigation relating to public company disclosures, 10b5-1 plans, and personal trading.
• Institutional trader in CME enforcement investigation relating to potential wash trading.
• Multiple institutional and retail broker-dealers in SEC and FINRA investigations relating to internal operational reporting and disclosure systems and processes including bluesheet trade reporting, e-delivery issues, fractional share reporting, DRIP programs, prospectus delivery, and customized risk or tax-related disclosures.
• Investment adviser in connection with SEC investigation into foreign exchange currency fees and related disclosures.
• National broker-dealer in connection with multi-year FINRA investigation regarding supervision of registered representative, suitability, and potential unauthorized trading.
• Broker-dealers in enforcement actions, exams, and internal reviews concerning UTMA and other custodial account types and applicable duties of care.
• Broker-dealers, investment advisors, and public companies in responding to routine FINRA insider trading requests and follow on investigations.
• Multiple broker-dealer and investment adviser clients in connection with state registration of agents and supervisors.
• Institutional trader in SEC investigation relating to potential manipulative trading.
• Internal lawyers and compliance personnel in connection with SEC and DOJ investigation relating to potential insider trading.
• Institutional broker-dealer in SEC investigation of potential pre-arranged trading activity.
• Major investment bank, together with its current and former employees, in multiple investigations related to residential mortgage-backed securities by the SEC, state Attorneys General and the DOJ, Civil Division.
• Financial institutions and their employees in significant industry related sweeps and investigations including: research analyst cases; dot.com failures; market-timing; auction rate securities; residential mortgage-backed securities; anti-money laundering controls; share class initiatives; reverse churning; and off-channel communications.

Counseling

• Broker-dealers and investment advisers in reviews of new products and account types, including evaluation of applicable duties of care and related supervisory systems.
• Investment adviser in connection with review of confidential information and personal trading policies.
• Large financial institution, including affiliated broker-dealers and banks, in review of incentive compensation and potential conflicts of interest.
• Institutional and retail broker-dealers on supervisory processes and self-reporting relating to disclosure issues including prospectus delivery, confirmation delivery, and disclosure content.
• National broker-dealer with the largest FINRA broker-dealer merger to date, focusing on state registration of representatives.
• Multiple broker-dealers on training registered representatives regarding regulatory inspections, document productions, KYC obligations, and duties of care.
• Multiple investment advisers and broker-dealers in internal reviews in matters including sales practices, supervision, mark-ups and commissions, and communications with clients.

Some of the above matters were handled prior to joining Sidley.

Corin is a member of the American Bar Association, New York State Bar Association, Massachusetts Bar Association, and the Maine State Bar Association. She also serves on the board of directors for Birch Family Services, a leading provider of education, employment, and community support services for individuals with autism and developmental disabilities and their families in New York City.

Corin is a strong advocate for women in the legal profession and is a member of SidleyWomen, Sidley’s committee to retain and promote women lawyers within the firm, for which she previously served as the Boston co-chair. 

Corin is the New York co-chair of the firm’s Pro Bono and Public Interest Law Committee. She has a commitment to public service and has represented a wide range of pro bono clients in matters including landlord/tenant disputes, immigration proceedings and counseling for not-for-profit clients. For the past six years, Corin has led an initiative, in partnership with a firm client, to provide representation in immigration proceedings to survivors of domestic violence. She was one of the authors of the Boston Bar Association’s amicus brief in the landmark Goodridge case in Massachusetts, the first decision by a state’s highest court establishing the right of same-sex couples to marry under state law. She is active in a variety of non-profit and community organizations, and recently served on the board of Maine’s Disability Rights Center.